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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Dwayne Javier

Advisor at ADVISORS ASSET MANAGEMENT, INC.

Palatine, IL | Matawan, NJ

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Search this name across graphsid dfx:ria:fda39182-8c00-626f-d6fd-d9d8f1e1a74e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 29, 2006 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: ADVISORS ASSET MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 19, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 19, 2004
First registration: Jun 29, 2006
Dual registered: yes, broker-dealer
Other names: DWAYNE AUGUST JAVIER
IAPD individual key: 2477898

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
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Dec 3, 2024	n/a	yes	Palatine, IL\|Matawan, NJ	Current employment
THRIVENT ASSET MANAGEMENT, LLC	Asset manager	Dec 2, 2020	Jul 17, 2024	no	Minneapolis, MN	Previous registration
INVESCO ADVISERS, INC.	Asset manager	Jan 27, 2016	May 31, 2019	no	Matawan, NJ\|ATLANTA, GA	Previous registration
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 7, 2015	Jan 8, 2016	no	BOSTON, MA	Previous registration
NATIONWIDE INVESTMENT ADVISORS, LLC	Bd affiliated wealth	Oct 15, 2013	Apr 7, 2015	no	COLUMBUS, OH	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Feb 7, 2012	Sep 30, 2013	no	FAIRFIELD, NJ	Previous registration
PGIM INVESTMENTS LLC	Asset manager	Jun 29, 2006	Sep 12, 2011	no	NEWARK, NJ	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
THRIVENT ASSET MANAGEMENT, LLC	ADVISORS ASSET MANAGEMENT, INC.	Jul 17, 2024	Dec 3, 2024	139	Firm change	Other
INVESCO ADVISERS, INC.	THRIVENT ASSET MANAGEMENT, LLC	May 31, 2019	Dec 2, 2020	551	Firm change after gap	Other
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	INVESCO ADVISERS, INC.	Jan 8, 2016	Jan 27, 2016	19	Firm change	Other
NATIONWIDE INVESTMENT ADVISORS, LLC	AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.	Apr 7, 2015	Apr 7, 2015	0	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	NATIONWIDE INVESTMENT ADVISORS, LLC	Sep 30, 2013	Oct 15, 2013	15	Firm change	Other
PGIM INVESTMENTS LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Sep 12, 2011	Feb 7, 2012	148	Firm change	Other

Relationships

Registered with (7)

→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Dec 3, 2024 to presentfactForm ADV
→ THRIVENT ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 2, 2020 to Jul 17, 2024factForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Jan 27, 2016 to May 31, 2019factForm ADV
→ AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 7, 2015 to Jan 8, 2016factForm ADV
→ NATIONWIDE INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 15, 2013 to Apr 7, 2015factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Feb 7, 2012 to Sep 30, 2013factForm ADV
→ PGIM INVESTMENTS LLCRegistered adviserregistration: previous registration
Jun 29, 2006 to Sep 12, 2011factForm ADV

Dated events

Occurred
Jul 17, 2024
Advisor changed firm
Dwayne Javier left Thrivent Asset Management, Llc for Advisors Asset Management, Inc. (registered 2024-12-03)
Form ADVobserved 5 days ago