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RIA / WealthAdvisor21 years in industry

JOHN JOSEPH GAVIN III

Advisor at PCM ENCORE, LLC

ASPEN, CO | Midlothian, VA

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Search this name across graphsid dfx:ria:cfa3a679-c1a9-01ff-0d7a-31d4cc0831ac

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 16, 2015 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: PCM ENCORE, LLC
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: Aug 17, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Aug 17, 2005
First registration: Jun 16, 2015
Dual registered: no
IAPD individual key: 4895365

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
PCM ENCORE, LLC	Independent wealth	Nov 19, 2024	n/a	yes	ASPEN, CO\|Midlothian, VA	Current employment
FISHER INVESTMENTS	Independent wealth	Jan 11, 2022	Nov 19, 2024	no	PLANO, TX\|MIDLOTHIAN, VA	Previous registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	Oct 27, 2020	Jan 6, 2022	no	NEW YORK, NY\|Midlothian, VA	Previous registration
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Jun 16, 2015	Aug 27, 2020	no	CHICAGO, 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
FISHER INVESTMENTS	PCM ENCORE, LLC	Nov 19, 2024	Nov 19, 2024	0	Firm change	RIA to new firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	FISHER INVESTMENTS	Jan 6, 2022	Jan 11, 2022	5	Firm change	Other
NUVEEN ASSET MANAGEMENT, LLC	NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Aug 27, 2020	Oct 27, 2020	61	Firm change	Other

Relationships

Registered with (4)

→ PCM ENCORE, LLCRegistered adviserregistration: current employment
Nov 19, 2024 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Jan 11, 2022 to Nov 19, 2024factForm ADV
→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Oct 27, 2020 to Jan 6, 2022factForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 16, 2015 to Aug 27, 2020factForm ADV

Dated events

Occurred
Nov 19, 2024
Advisor changed firm
John Joseph Gavin Iii left Fisher Investments for Pcm Encore, Llc (registered 2024-11-19)
Form ADVobserved 4 days ago
Occurred
Jan 6, 2022
Advisor changed firm
John Joseph Gavin Iii left New York Life Investment Management Llc for Fisher Investments (registered 2022-01-11)
Form ADVobserved 4 days ago