DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Joseph Daniel Bergin
Feed of 09/14/2026
Also filed as Joseph D Bergin
At current firm
0 y
since Jan 5, 2026
In the industry
41 y
since Feb 21, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Prospera Financial Services, Inc. BD affiliated currentsince Jan 5, 2026 · Irvine, Ca
- B. Riley Wealth Advisors, Inc. BD affiliatedJul 28, 2022 to Sep 17, 2025 · Irvine, Ca
- B Riley Wealth Management formerAug 10, 2020 to Dec 31, 2022 · Irvine, Ca
- Wells Fargo Advisors wirehouseJul 8, 2014 to Aug 10, 2020 · Irvine, Ca
- Cibc World Markets Corp. unclassifiedNov 10, 1997 to Dec 18, 2002 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- B. Riley Wealth Advisors, Inc. to Prospera Financial Services, Inc.left Sep 17, 2025, registered Jan 5, 2026 (110 days) · Affiliated broker-dealer or bank to another · moved with a team
- B Riley Wealth Management to B. Riley Wealth Advisors, Inc.left Dec 31, 2022, registered Jul 28, 2022 (-156 days) · corporate re-registration, not a move
- Wells Fargo Advisors to B Riley Wealth Managementleft Aug 10, 2020, registered Aug 10, 2020 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- Cibc World Markets Corp. to Wells Fargo Advisorsleft Dec 18, 2002, registered Jul 8, 2014 (4220 days) · Other
Signals
- Joseph Daniel Bergin left B. Riley Wealth Advisors, Inc. for Prospera Financial Services, Inc. (registered 2026-01-05)Sep 17, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address