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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

PATRICK BAUZON

Advisor at STRATEGIC ADVISERS LLC

UNION CITY, CA | BERKELEY, CA

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Search this name across graphsid dfx:ria:847925a1-b080-be1c-6978-5a309438b239

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 23, 2018 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: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 20, 2018
First registration: Aug 23, 2018
Dual registered: yes, broker-dealer
Other names: PAT BAUZON|PATRICK BANZON BAUZON
IAPD individual key: 6403701

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	UNION CITY, CA\|BERKELEY, CA\|BERKELEY, CA	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	May 22, 2023	Mar 31, 2025	no	BERKELEY, CA	Previous registration
TWIN PEAKS WEALTH ADVISORS	Independent wealth	Dec 15, 2022	Feb 28, 2023	no	SAN FRANCISCO, CA\|NEWARK, CA	Previous registration
INVESTOR FAN	Independent wealth	Nov 18, 2021	Jan 17, 2023	no	Newark, CA\|BOISE, ID	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 23, 2018	Nov 12, 2021	no	FREMONT, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
TWIN PEAKS WEALTH ADVISORS	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Feb 28, 2023	May 22, 2023	83	Firm change	RIA to ibd
INVESTOR FAN	TWIN PEAKS WEALTH ADVISORS	Jan 17, 2023	Dec 15, 2022	-33	Firm change after gap	RIA to new firm
LPL FINANCIAL LLC	INVESTOR FAN	Nov 12, 2021	Nov 18, 2021	6	Firm change	Ibd to RIA

Team moves

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

Team	Left	Joined	From	Kind
6413:159301:CA:2021-11-12	Nov 12, 2021	Nov 18, 2021	FREMONT, CA	Firm change

Relationships

Registered with (5)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
May 22, 2023 to Mar 31, 2025factForm ADV
→ TWIN PEAKS WEALTH ADVISORSRegistered adviserregistration: previous registration
Dec 15, 2022 to Feb 28, 2023factForm ADV
→ INVESTOR FANRegistered adviserregistration: previous registration
Nov 18, 2021 to Jan 17, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 23, 2018 to Nov 12, 2021factForm ADV

Dated events

Occurred
Feb 28, 2023
Advisor changed firm
Patrick Bauzon left Twin Peaks Wealth Advisors for Fidelity Personal And Workplace Advisors (registered 2023-05-22)
Form ADVobserved 6 days ago
Occurred
Jan 17, 2023
Advisor changed firm
Patrick Bauzon left Investor Fan for Twin Peaks Wealth Advisors (registered 2022-12-15)
Form ADVobserved 6 days ago