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
Douglas J Bauerband
Feed of 09/14/2026
At current firm
3 y
since Jul 10, 2023
In the industry
45 y
since Oct 1, 1980 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- G. Douglas Wealth Management state registered currentsince Jul 10, 2023 · Toms River, Nj
- Gradient Wealth Management BD affiliatedJan 13, 2023 to Jul 17, 2023 · Toms River, Nj
- World Advisory Services formerJun 27, 2012 to Dec 31, 2022 · Toms River, Nj
- Sagepoint Financial, Inc. formerOct 31, 2008 to Jun 28, 2012 · Toms River, Nj
- American General Securities Incorporated unclassifiedFeb 19, 2008 to Oct 31, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Gradient Wealth Management to G. Douglas Wealth Managementleft Jul 17, 2023, registered Jul 10, 2023 (-7 days) · Affiliated broker-dealer or bank to a state-registered adviser
- World Advisory Services to Gradient Wealth Managementleft Dec 31, 2022, registered Jan 13, 2023 (13 days) · Affiliated broker-dealer or bank to another
- Sagepoint Financial, Inc. to World Advisory Servicesleft Jun 28, 2012, registered Jun 27, 2012 (-1 days) · Other
- American General Securities Incorporated to Sagepoint Financial, Inc.left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
Signals
- Douglas J Bauerband left Gradient Wealth Management for G. Douglas Wealth Management (registered 2023-07-10)Jul 17, 2023 · Advisor changed firm · fact
- Douglas J Bauerband left World Advisory Services for Gradient Wealth Management (registered 2023-01-13)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
- STATE REGISTEREDderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address