Joseph A. Di Vito
RBC CAPITAL MARKETS | Managing Director - Wealth Manager
Scottsdale, AZ
CRD#: 2245445
Professional summary
Joseph A Di Vito JR, CFP®, who also goes by Joseph Anthony Divito Jr, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Scottsdale, Arizona.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Joe has been managing assets for some of Arizona’s most affluent families and institutions since 1992. His drive has led to being a nationally recognized leader in the profession.
At RBC, Joe has consistently been a Chairman’s Council level advisor, maintaining excellence in all aspects of his practice. Being a board CERTIFIED FINANCIAL PLANNER™ (CFP®), Investment Management Analyst (CIMA®), Accredited Investment Fiduciary (AIF®), Chartered Retirement Plan Specialist (CRPS®) and a Business-Finance graduate from Arizona State University, he assures clients he won’t be outdone in professional education.
His wealth management practice focuses on a holistic approach to wealth management, retirement plan consulting, wealth transfer, risk management and estate planning.
He began his career at Morgan Stanley before moving to UBS in 1998, and in 2009 joined RBC Wealth Management. He joined RBC because of their financial stability in the midst of the great recession.
Joe focuses on his client’s specific financial goals using a consultative process hiring world-class private and public asset managers. Efficient asset management is the core of his practice.
Question & Answer
What are your service offerings?
Financial Planning,
Investment Management,
Tax Planning,
Retirement Planning,
Estate Planning,
Business Planning,
Banking Services (Savings, Che...
Business Valuation and Exit Pl...
Individual Insurance (Life, He...
Do you have an area of expertise or specialization?
Alternative Investments,
Customized Portfolios,
Estate Planning,
High Net Worth Planning,
Investment Management,
Retirement Planning,
Trust and Estate Planning,
College Planning,
Executive Compensation (ISO, R...
Real Estate (LLP, REIT's, Priv...
Risk Management and Insurance ...
Small Business Planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
3M
How do you get paid?
Fee-Only
Sliding fee schedule with acco...
Are you a "fiduciary"?
Yes
Aliases
Joseph Anthony Divito Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) MOQUI RANCHETTES HOA; ADDRESS: 21436 N. 20TH AVE PHOENIX, AZ 85027; BUSINESS DESCRIPTION: HOMEOWNER'S ASSOCIATION; NOT INVESTMENT RELATED; START DATE: 11/01/2013; CAPACITY: TREASURER; DUTIES: HOMEOWNER'S ASSOCIATION; HOURS DEVOTED PER WEEK: LESS THAN 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0. (2) MARICOPA COUNTY SHERIFF'S OFFICE - COMMUNITY OUTREACH POSSE; ADDRESS: 3219 E. CAMELBACK RD. STE 464, PHOENIX, AZ 85018; BUSINESS DESCRIPTION: FUNDRAISING; NOT INVESTMENT RELATED; START DATE: 06/11/2018; CAPACITY: BOARD OF DIRECTORS; DUTIES: GENERAL OVERSIGHT; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (3) MARICOPA COUNTY SHERRIF'S OFFICE MEMORIAL FUND; ADDRESS: 3325 WEST DURANGO STREET, PHOENIX, AZ 85009; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT; CAPACITY: OFFICE, DIRECTOR; START DATE: 12/12/2018; DUTIES: CAPITAL CAMPAIGNS, COMMUNICATION WITH MCSO, DISBURSEMENT OF RESOURCES FOR FALLEN OFFICERS FAMILIES; HOURS DEVOTED PER MONTH: <1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. (4) NAME OF ENTITY: HUNTER GRACE LLC; ADDRESS: PERSONAL RESIDENCE; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: FAMILY HOLDING CO; CAPACITY: OWNER-ACTIVE; START DATE: 02/2007; DUTIES: MANAGE THE LLC AND THE ASSETS IT HOLDS; HOURS DEVOTED PER MONTH: 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (5) Name: Arizona Elk Society Address: 7773 W. Golden Lane Peoria, Arizona 85345 Business Description: Wildlife conservation Start Date: 09/30/20 Capacity: Board of Directors * Duties Performed: Business development Devoted Time: 1, 0 6) NAME OF ENTITY: Maricopa County Sheriff's Office - Sheriff's Advisory Council ADDRESS: 2390 E. Camelback Rd. Suite 100 Phoenix, AZ 85016 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Raising funds for fallen officer families CAPACITY: Board of Directors START DATE: 06/18/18 DUTIES: Ideas for fundraising and public awareness HOURS DEVOTED PER MONTH: 0.25 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Joseph A Di Vito JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph A Di Vito JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2006
Education
Finance
Experience
Current
March 11, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467RIA
BD
CRD#: 31194
Scottsdale, AZ
Current
March 11, 2009 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 2398 East Camelback Road Suite 700, Phoenix, AZ 85016-3467RIA
BD
CRD#: 31194
Phoenix, AZ
Past
April 28, 2005 - March 26, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PHOENIX, AZ
Past
November 30, 1998 - March 26, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PHOENIX, AZ
Past
July 31, 1993 - December 17, 1998
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 27, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 6, 1992 - January 29, 1993
AMERICAN FRONTEER FINANCIAL CORPORATION
BD
CRD#: 1398
DENVER, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(10/31/2013)
RR
Arizona(3/11/2009)
IAR
Arizona(3/3/2011)
RR
Arkansas(1/26/2011)
RR
California(3/11/2009)
RR
Colorado(3/11/2009)
RR
Connecticut(3/11/2009)
RR
Delaware(10/7/2020)
RR
District of Columbia(10/15/2020)
RR
Florida(3/11/2014)
RR
Georgia(3/11/2009)
RR
Hawaii(10/11/2021)
RR
Idaho(10/11/2021)
RR
Illinois(4/11/2012)
RR
Indiana(8/23/2023)
RR
Iowa(6/16/2023)
RR
Kansas(4/12/2010)
RR
Kentucky(10/11/2021)
RR
Louisiana(10/11/2021)
RR
Maine(1/26/2011)
RR
Maryland(1/15/2019)
RR
Massachusetts(4/27/2012)
RR
Michigan(6/14/2011)
RR
Minnesota(3/18/2009)
RR
Mississippi(10/11/2021)
RR
Missouri(10/28/2014)
RR
Montana(9/26/2022)
RR
Nebraska(12/9/2021)
RR
Nevada(3/11/2009)
RR
New Jersey(3/5/2018)
RR
New Mexico(2/4/2010)
RR
New York(3/11/2009)
RR
North Carolina(2/28/2011)
RR
North Dakota(10/11/2021)
RR
Ohio(10/12/2021)
RR
Oklahoma(3/11/2009)
RR
Oregon(3/11/2009)
RR
Pennsylvania(7/28/2020)
RR
South Carolina(4/5/2024)
RR
South Dakota(5/13/2022)
RR
Tennessee(3/11/2009)
RR
Texas(3/11/2009)
IAR
Texas(3/11/2009)
RR
Utah(7/18/2018)
RR
Virginia(3/6/2012)
RR
Washington(3/11/2009)
RR
Wisconsin(4/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RBC CAPITAL MARKETS, LLC
Managing Director - Wealth ManagerCRD#: 31194Scottsdale, AZTRUST BUT VERIFY
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