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RIA / WealthAdvisorCertified Financial Planner12 years in industry

VINCENT MICHAEL GARAVENTA

Advisor at BAUMAN WEALTH ADVISORS

LAS VEGAS, NV

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Search this name across graphsid dfx:ria:752e2ce4-9e63-4306-1f67-aec659014eec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jul 18, 2018 to Sep 14, 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: BAUMAN WEALTH ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 10, 2018
First registration: Jul 18, 2018
Dual registered: no
Other names: Vincent Michael Garaventa|Vincent Garaventa
IAPD individual key: 6928955

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
BAUMAN WEALTH ADVISORS	Independent wealth	Dec 3, 2024	n/a	yes	LAS VEGAS, NV	Current employment
MERCER GLOBAL ADVISORS INC.	Independent wealth	Dec 15, 2023	Oct 18, 2024	no	DENVER, CO\|Wheat Ridge, CO	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Feb 4, 2021	Dec 4, 2023	no	THOUSAND OAKS, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	May 29, 2020	Dec 31, 2020	no	Torrance, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	May 29, 2020	Jan 11, 2021	no	TORRANCE, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Nov 28, 2018	May 1, 2020	no	Las Vegas, NV	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 18, 2018	Oct 22, 2018	no	Concord, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA	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
MERCER GLOBAL ADVISORS INC.	BAUMAN WEALTH ADVISORS	Oct 18, 2024	Dec 3, 2024	46	Firm change	RIA to RIA
FIDELITY PERSONAL AND WORKPLACE ADVISORS	MERCER GLOBAL ADVISORS INC.	Dec 4, 2023	Dec 15, 2023	11	Firm change	Ibd to RIA
TD AMERITRADE, INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jan 11, 2021	Feb 4, 2021	24	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 31, 2020	May 29, 2020	-216	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 1, 2020	May 29, 2020	28	Firm change	Ibd to RIA
EQUITABLE ADVISORS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 22, 2018	Nov 28, 2018	37	Firm change	Ibd to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7870:288590:CA:2021-01-11	Jan 11, 2021	Feb 4, 2021	TORRANCE, CA	Firm change

Relationships

Registered with (7)

→ BAUMAN WEALTH ADVISORSRegistered adviserregistration: current employment
Dec 3, 2024 to presentfactForm ADV
→ MERCER GLOBAL ADVISORS INC.Registered adviserregistration: previous registration
Dec 15, 2023 to Oct 18, 2024factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Feb 4, 2021 to Dec 4, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 29, 2020 to Jan 11, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 29, 2020 to Dec 31, 2020factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 28, 2018 to May 1, 2020factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 18, 2018 to Oct 22, 2018factForm ADV

Dated events

Occurred
Oct 18, 2024
Advisor changed firm
Vincent Michael Garaventa left Mercer Global Advisors Inc. for Bauman Wealth Advisors (registered 2024-12-03)
Form ADVobserved 6 days ago
Occurred
Dec 4, 2023
Advisor changed firm
Vincent Michael Garaventa left Fidelity Personal And Workplace Advisors for Mercer Global Advisors Inc. (registered 2023-12-15)
Form ADVobserved 6 days ago