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
Jeffrey Frederick Bauer
Feed of 09/14/2026
Also filed as Jeffrey Bauer
At current firm
1 y
since Nov 14, 2024
In the industry
29 y
since Dec 16, 1996 (earliest exam, job or registration)
Prior registered firms
7
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Enterprise, LLC BD affiliated currentsince Nov 14, 2024 · Shelton, Ct
- Pruco Securities, LLC no RAUMFeb 17, 2022 to Nov 14, 2024 · Shelton, Ct
- William Joseph Capital Management, Inc. independent RIAMar 23, 2021 to Oct 29, 2021 · Bristol, Ct
- Charles Schwab & Co., Inc. national BDApr 7, 2016 to Dec 10, 2020 · Fairfield, Ct
- Voya Investment Management Co. LLC asset managerApr 5, 2012 to Nov 10, 2014 · New York, Ny
- Cleararc Capital, Inc. formerMar 21, 2007 to Sep 13, 2010 · Cincinnati, Oh
- Clearbridge Investments, LLC mixed wealthDec 15, 2005 to Sep 6, 2006 · New York, Ny
- Citigroup Global Markets Inc. BD affiliatedJan 26, 2004 to Dec 16, 2005 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- Pruco Securities, LLC to LPL Enterprise, LLCleft Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- William Joseph Capital Management, Inc. to Pruco Securities, LLCleft Oct 29, 2021, registered Feb 17, 2022 (111 days) · RIA to affiliated broker-dealer or bank
- Charles Schwab & Co., Inc. to William Joseph Capital Management, Inc.left Dec 10, 2020, registered Mar 23, 2021 (103 days) · Affiliated broker-dealer or bank to independent RIA
- Voya Investment Management Co. LLC to Charles Schwab & Co., Inc.left Nov 10, 2014, registered Apr 7, 2016 (514 days) · Other
- Cleararc Capital, Inc. to Voya Investment Management Co. LLCleft Sep 13, 2010, registered Apr 5, 2012 (570 days) · Other
- Clearbridge Investments, LLC to Cleararc Capital, Inc.left Sep 6, 2006, registered Mar 21, 2007 (196 days) · Other
- Citigroup Global Markets Inc. to Clearbridge Investments, LLCleft Dec 16, 2005, registered Dec 15, 2005 (-1 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address