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
Bruce Joseph Falcon
Feed of 09/14/2026
Also filed as Bruce J Falcon
At current firm
3 y
since May 11, 2023
In the industry
33 y
since Apr 2, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince May 11, 2023 · Bay City, Mi
- On Investment Management Co BD affiliatedJun 17, 2022 to May 11, 2023 · Bay City, Mi
- Pruco Securities, LLC no RAUMJun 16, 2022 to Jul 14, 2022 · Troy, Mi
- On Investment Management Co BD affiliatedJan 13, 2016 to Jun 14, 2022 · Bay City, Mi
Moves
a registration end followed by a registration begin elsewhere
- On Investment Management Co to Osaic Wealth, Inc.left May 11, 2023, registered May 11, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- Pruco Securities, LLC to On Investment Management Coleft Jul 14, 2022, registered Jun 17, 2022 (-27 days) · Affiliated broker-dealer or bank to another
- On Investment Management Co to Pruco Securities, LLCleft Jun 14, 2022, registered Jun 16, 2022 (2 days) · Affiliated broker-dealer or bank to another
Signals
- Bruce Joseph Falcon left On Investment Management Co for Osaic Wealth, Inc. (registered 2023-05-11)May 11, 2023 · Advisor changed firm · fact
- Bruce Joseph Falcon left Pruco Securities, Llc for On Investment Management Co (registered 2022-06-17)Jul 14, 2022 · Advisor changed firm · fact
- Bruce Joseph Falcon left On Investment Management Co for Pruco Securities, Llc (registered 2022-06-16)Jun 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address