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

Dwayne Javier

Advisors Asset Management, Inc.mixed wealthPalatine, Il dual registrantIAPD 2477898

Feed of 09/14/2026

Also filed as Dwayne August Javier

At current firm

1 y

since Dec 3, 2024

In the industry

22 y

since Mar 19, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Advisors Asset Management, Inc. mixed wealth current
since Dec 3, 2024 · Palatine, Il
Thrivent Asset Management, LLC asset manager
Dec 2, 2020 to Jul 17, 2024 · Minneapolis, Mn
Invesco Advisers, Inc. asset manager
Jan 27, 2016 to May 31, 2019 · Matawan, Nj
Amundi Pioneer Institutional Asset Management, Inc. former
Apr 7, 2015 to Jan 8, 2016 · Boston, Ma
Nationwide Investment Advisors, LLC BD affiliated
Oct 15, 2013 to Apr 7, 2015 · Columbus, Oh
Northwestern Mutual Investment Services,LLC no RAUM
Feb 7, 2012 to Sep 30, 2013 · Fairfield, Nj
Pgim Investments LLC asset manager
Jun 29, 2006 to Sep 12, 2011 · Newark, Nj

Moves

a registration end followed by a registration begin elsewhere

Thrivent Asset Management, LLC to Advisors Asset Management, Inc.
left Jul 17, 2024, registered Dec 3, 2024 (139 days) · Other
Invesco Advisers, Inc. to Thrivent Asset Management, LLC
left May 31, 2019, registered Dec 2, 2020 (551 days) · Other
Amundi Pioneer Institutional Asset Management, Inc. to Invesco Advisers, Inc.
left Jan 8, 2016, registered Jan 27, 2016 (19 days) · Other
Nationwide Investment Advisors, LLC to Amundi Pioneer Institutional Asset Management, Inc.
left Apr 7, 2015, registered Apr 7, 2015 (0 days) · Other
Northwestern Mutual Investment Services,LLC to Nationwide Investment Advisors, LLC
left Sep 30, 2013, registered Oct 15, 2013 (15 days) · Other
Pgim Investments LLC to Northwestern Mutual Investment Services,LLC
left Sep 12, 2011, registered Feb 7, 2012 (148 days) · Other

Signals

Dwayne Javier left Thrivent Asset Management, Llc for Advisors Asset Management, Inc. (registered 2024-12-03)
Jul 17, 2024 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address