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

Gustavo Oliverto De La Roca

Hartford Fundsasset managerGlendale, Ca dual registrantIAPD 4515777
Feed of 09/15/2026
Also filed as Gustavo Oliverto De La Roca
At current firm
1 y
since Mar 12, 2025
In the industry
24 y
since Mar 1, 2002 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Gustavo Oliverto De La Roca left Northcoast Asset Management Llc for Hartford Funds (registered 2025-03-12)
    Mar 13, 2025 · Advisor changed firm · fact
  • Gustavo Oliverto De La Roca left Lpl Financial Llc for Connectus Wealth (registered 2023-10-03)
    Oct 2, 2023 · 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
Asset manager (funds and pooled vehicles)derived
Years in industry
24derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address