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
Gregory John Wozniak
Feed of 09/15/2026
Also filed as Greg Wozniak
At current firm
4 y
since Aug 16, 2022
In the industry
28 y
since Dec 2, 1997 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Universal Financial Advisors, LLC independent RIA currentsince Aug 16, 2022 · St. Louis, Mo
- Pfg Advisors independent RIAJan 3, 2022 to Aug 22, 2022 · Lake Winnebago, Mo
- Beam Wealth Advisors, Inc. independent RIAMar 9, 2015 to Dec 15, 2021 · Lee'S Summit, Mo
- Universal Financial Planning Consultants, Inc. formerJan 28, 2010 to Dec 31, 2015 · Lee'S Summit, Mo
- LPL Financial LLC BD affiliatedOct 6, 2009 to Jan 15, 2010 · Lees Summit, Mo
- Mutual Service Corporation unclassifiedMar 26, 2009 to Oct 7, 2009 · Lee'S Summit, Mo
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 31, 2007 to Feb 13, 2009 · Leawood, Ks
- MML Investors Services, LLC BD affiliatedApr 6, 2006 to Aug 1, 2007 · Lee'S Summit, Mo
- Robert W. Baird & Co. Incorporated mixed wealthSep 26, 2003 to Jul 7, 2005 · Kasas City, Mo
Moves
a registration end followed by a registration begin elsewhere
- Pfg Advisors to Universal Financial Advisors, LLCleft Aug 22, 2022, registered Aug 16, 2022 (-6 days) · RIA to a newly registered adviser · moved with a team
- Beam Wealth Advisors, Inc. to Pfg Advisorsleft Dec 15, 2021, registered Jan 3, 2022 (19 days) · RIA to RIA · moved with a team
- Universal Financial Planning Consultants, Inc. to Beam Wealth Advisors, Inc.left Dec 31, 2015, registered Mar 9, 2015 (-297 days) · Other · moved with a team
- LPL Financial LLC to Universal Financial Planning Consultants, Inc.left Jan 15, 2010, registered Jan 28, 2010 (13 days) · Other
- Mutual Service Corporation to LPL Financial LLCleft Oct 7, 2009, registered Oct 6, 2009 (-1 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Mutual Service Corporationleft Feb 13, 2009, registered Mar 26, 2009 (41 days) · Other
- MML Investors Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 1, 2007, registered Aug 31, 2007 (30 days) · Other
- Robert W. Baird & Co. Incorporated to MML Investors Services, LLCleft Jul 7, 2005, registered Apr 6, 2006 (273 days) · Other
Signals
- Gregory John Wozniak left Pfg Advisors for Universal Financial Advisors, Llc (registered 2022-08-16)Aug 22, 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address