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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Bradley Robert Yocum

Advisor at HARTFORD FUNDS

Erlanger, KY | WAYNE, PA

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Search this name across graphsid dfx:ria:64bd09e9-8975-300b-ff40-8ab0e7d09298

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Feb 7, 2012 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HARTFORD FUNDS
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 22, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 22, 2011
First registration: Feb 7, 2012
Dual registered: yes, broker-dealer
Other names: BRAD YOCUM|BRADLEY ROBERT YOCUM|Bradley Yocum
IAPD individual key: 5844917

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HARTFORD FUNDS	Asset manager	Sep 8, 2023	n/a	yes	Erlanger, KY\|WAYNE, PA	Current employment
S.B. VALUE PARTNERS, L.P.	Other adviser	Mar 13, 2023	Sep 5, 2023	no	Allentown, PA\|SAN ANTONIO, TX	Previous registration
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Apr 1, 2021	Mar 8, 2023	no	BOERNE, TX\|Allentown, PA	Previous registration
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC	Other adviser	Mar 25, 2019	Apr 5, 2021	no	BETHLEHEM, PA	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Jan 13, 2015	Aug 27, 2018	no	CHICAGO, IL	Previous registration
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Feb 7, 2012	Jan 13, 2015	no	LISLE, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S.B. VALUE PARTNERS, L.P.	HARTFORD FUNDS	Sep 5, 2023	Sep 8, 2023	3	Firm change	Other
ADVISORS ASSET MANAGEMENT, INC.	S.B. VALUE PARTNERS, L.P.	Mar 8, 2023	Mar 13, 2023	5	Firm change	Other
CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC	ADVISORS ASSET MANAGEMENT, INC.	Apr 5, 2021	Apr 1, 2021	-4	Firm change	Other
NUVEEN ASSET MANAGEMENT, LLC	CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC	Aug 27, 2018	Mar 25, 2019	210	Firm change	Other
ADVISORS ASSET MANAGEMENT, INC.	NUVEEN ASSET MANAGEMENT, LLC	Jan 13, 2015	Jan 13, 2015	0	Firm change	Other

Relationships

Registered with (5)

→ HARTFORD FUNDSRegistered adviserregistration: current employment
Sep 8, 2023 to presentfactForm ADV
→ S.B. VALUE PARTNERS, L.P.Registered adviserregistration: previous registration
Mar 13, 2023 to Sep 5, 2023factForm ADV
→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 1, 2021 to Mar 8, 2023factForm ADV
→ CORNERSTONE ADVISORS ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 25, 2019 to Apr 5, 2021factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 13, 2015 to Aug 27, 2018factForm ADV

Dated events

Occurred
Sep 5, 2023
Advisor changed firm
Bradley Robert Yocum left S.B. Value Partners, L.P. for Hartford Funds (registered 2023-09-08)
Form ADVobserved 5 days ago
Occurred
Mar 8, 2023
Advisor changed firm
Bradley Robert Yocum left Advisors Asset Management, Inc. for S.B. Value Partners, L.P. (registered 2023-03-13)
Form ADVobserved 5 days ago