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

Travis Michael Berglund

LPL Financial LLCBD affiliatedSequim, Wadual registrantIAPD 5027023

Feed of 09/14/2026

At current firm

1 y

since Nov 19, 2024

In the industry

19 y

since Jan 19, 2007 (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

LPL Financial LLC BD affiliated current
since Nov 19, 2024 · Sequim, Wa
Financial Advocates Investment Management former
Apr 15, 2015 to Nov 21, 2024 · Port Angeles, Wa
Essex National Securities, Inc. former
Oct 11, 2011 to Apr 13, 2015 · Napa, Ca
LPL Financial LLC BD affiliated
Dec 16, 2008 to Oct 27, 2011 · Litchfield Park, Az

Moves

a registration end followed by a registration begin elsewhere

Financial Advocates Investment Management to LPL Financial LLC
left Nov 21, 2024, registered Nov 19, 2024 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
Essex National Securities, Inc. to Financial Advocates Investment Management
left Apr 13, 2015, registered Apr 15, 2015 (2 days) · Other
LPL Financial LLC to Essex National Securities, Inc.
left Oct 27, 2011, registered Oct 11, 2011 (-16 days) · Other

Signals

Travis Michael Berglund left Financial Advocates Investment Management for Lpl Financial Llc (registered 2024-11-19)
Nov 21, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address