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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

Gustavo Oliverto De La Roca

Advisor at HARTFORD FUNDS

Glendale, CA | WAYNE, PA

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Search this name across graphsid dfx:ria:cf6b06ed-439b-d7f7-0a93-93982f6a5587

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 2, 2021 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: Mar 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 6, 2002
First registration: Aug 2, 2021
Dual registered: yes, broker-dealer
Other names: GUSTAVO OLIVERTO DE LA ROCA|GUSTAVO OLIVERTO DE LA ROCA
IAPD individual key: 4515777

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	Mar 12, 2025	n/a	yes	WAYNE, PA\|Glendale, CA	Current employment
NORTHCOAST ASSET MANAGEMENT LLC	Independent wealth	Jan 6, 2025	Mar 13, 2025	no	Glendale, CA	Previous registration
NORTHCOAST ASSET MANAGEMENT LLC	Independent wealth	Jun 3, 2024	Dec 31, 2024	no	Glendale, CA	Previous registration
CONNECTUS WEALTH	Former SEC adviser	Oct 3, 2023	Jul 25, 2024	no	Glendale, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 2, 2021	Oct 2, 2023	no	WOODLAND HILLS, CA\|WOODLAND HILLS, CA\|WESTLAKE VILLAGE, CA\|WESTLAKE VILLAGE, CA\|THOUSAND OAKS, 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
NORTHCOAST ASSET MANAGEMENT LLC	HARTFORD FUNDS	Mar 13, 2025	Mar 12, 2025	-1	Firm change	Other
CONNECTUS WEALTH	NORTHCOAST ASSET MANAGEMENT LLC	Jul 25, 2024	Jun 3, 2024	-52	Bulk transfer	RIA to RIA
LPL FINANCIAL LLC	CONNECTUS WEALTH	Oct 2, 2023	Oct 3, 2023	1	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ HARTFORD FUNDSRegistered adviserregistration: current employment
Mar 12, 2025 to presentfactForm ADV
→ NORTHCOAST ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Jan 6, 2025 to Mar 13, 2025factForm ADV
→ CONNECTUS WEALTHRegistered adviserregistration: previous registration
Oct 3, 2023 to Jul 25, 2024factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Aug 2, 2021 to Oct 2, 2023factForm ADV

Dated events

Occurred
Mar 13, 2025
Advisor changed firm
Gustavo Oliverto De La Roca left Northcoast Asset Management Llc for Hartford Funds (registered 2025-03-12)
Form ADVobserved 5 days ago
Occurred
Oct 2, 2023
Advisor changed firm
Gustavo Oliverto De La Roca left Lpl Financial Llc for Connectus Wealth (registered 2023-10-03)
Form ADVobserved 5 days ago