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
Benjamin Troy Warwick
Feed of 09/14/2026
Also filed as Ben Warwick
At current firm
1 y
since Nov 1, 2024
In the industry
34 y
since Apr 21, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Tandem Financial, LLC independent RIA currentsince Sep 4, 2025 · Greenwood Village, Co
- Advisors Preferred LLC asset manager currentsince Nov 1, 2024 · Rockville, Md
- Sovereign Private Equity Management, LLC formerJan 24, 2023 to Dec 31, 2024 · Highlands Ranch, Co
- Aveo Capital Partners, LLC formerJun 23, 2020 to Oct 1, 2025 · Englewood, Co
- Fort Point Capital Partners LLC independent RIAMay 12, 2017 to Jul 9, 2020 · Highlands Ranch, Co
- Sovereign Wealth Management Inc unclassifiedFeb 9, 2007 to Nov 15, 2010 · Memphis, Tn
- Occam Capital Advisors, LLC unclassifiedSep 3, 2004 to Dec 31, 2005 · Highlands Ranch, Co
- Sovereign Private Equity Management, LLC formerAug 6, 2004 to Dec 31, 2022 · Highlands Ranch, Co
Moves
a registration end followed by a registration begin elsewhere
- Aveo Capital Partners, LLC to Sovereign Private Equity Management, LLCleft Oct 1, 2025, registered Jan 24, 2023 (-981 days) · Other
- Sovereign Private Equity Management, LLC to Advisors Preferred LLCleft Dec 31, 2024, registered Nov 1, 2024 (-60 days) · Other
- Sovereign Private Equity Management, LLC to Occam Capital Advisors, LLCleft Dec 31, 2022, registered Sep 3, 2004 (-6693 days) · Other
- Fort Point Capital Partners LLC to Aveo Capital Partners, LLCleft Jul 9, 2020, registered Jun 23, 2020 (-16 days) · RIA to RIA
- Sovereign Wealth Management Inc to Fort Point Capital Partners LLCleft Nov 15, 2010, registered May 12, 2017 (2370 days) · Other
- Occam Capital Advisors, LLC to Sovereign Wealth Management Incleft Dec 31, 2005, registered Feb 9, 2007 (405 days) · Other
Signals
- Benjamin Troy Warwick left Aveo Capital Partners, Llc for Sovereign Private Equity Management, Llc (registered 2023-01-24)Oct 1, 2025 · Advisor changed firm · fact
- Benjamin Troy Warwick left Sovereign Private Equity Management, Llc for Advisors Preferred Llc (registered 2024-11-01)Dec 31, 2024 · Advisor changed firm · fact
- Benjamin Troy Warwick left Sovereign Private Equity Management, Llc for Occam Capital Advisors, Llc (registered 2004-09-03)Dec 31, 2022 · 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address