DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Arrivals at Ucap Americas

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
George GandariasEfg Private Wealth Management (Americas) Corp. mixed wealthUcap Americas mixed wealthRIA to RIAJan 5, 2026Jan 29, 2026
Luis Enrique Jocelyn-HoltInsigneo Advisory Services, LLC BD affiliatedUcap Americas mixed wealthAffiliated broker-dealer or bank to independent RIAJul 22, 2025Jul 18, 2025
Lourdes Marina ZaldanaMorgan Stanley wirehouseUcap Americas independent RIAWirehouse to independent RIAJul 27, 2023Aug 22, 2023
Alma EstradaWells Fargo Advisors wirehouseUcap Americas independent RIAWirehouse to independent RIANov 3, 2021Oct 27, 2021
Francisco Miguel De La CamaraWells Fargo Advisors wirehouseUcap Americas independent RIAWirehouse to independent RIASep 23, 2021Oct 6, 2021
Miguel Luis OrtizEfg Capital International Corp. no RAUMUcap Americas independent RIAOtherJul 13, 2021Jul 25, 2022 (377 d)
Susan DisdierWells Fargo Advisors wirehouseUcap Americas independent RIAWirehouse to independent RIAMay 19, 2021Jul 22, 2021 (64 d)
Ana Maria ParraInsigneo Advisory Services, LLC mixed wealthUcap Americas independent RIARIA to RIAMar 30, 2021Aug 31, 2021 (154 d)
Aroldo BalbinoUBS Financial Services Inc. wirehouseUcap Americas mixed wealthWirehouse to independent RIAOct 1, 2020Oct 8, 2020
Luis Jacob Alayo RieraSb Advisory, LLC BD affiliatedUcap Americas independent RIAAffiliated broker-dealer or bank to independent RIASep 4, 2019Sep 17, 2019
Iris SanguinettiInsight Securities, Inc. independent RIAUcap Americas independent RIARIA to RIAApr 22, 2019May 28, 2019 (36 d)
Oscar David Flores De ValgazInsight Securities, Inc. otherUcap Americas mixed wealthOtherJun 2, 2017Oct 3, 2018 (488 d)
Juan Manuel DoriaMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseUcap Americas otherOtherMar 14, 2017Nov 7, 2017 (238 d)
Emmanuel M CasuscelliMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseUcap Americas mixed wealthWirehouse to independent RIAMar 14, 2017Mar 5, 2019 (721 d)
Nicholas Patrick SalasWells Fargo Advisors wirehouseUcap Americas otherOtherFeb 8, 2017Jul 21, 2017 (163 d)
Dmitri Victor EfimovLeucadia Asset Management LLC otherUcap Americas independent RIAOtherMar 12, 2015May 17, 2019 (1527 d)
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16 moves match.