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
Patrick Bauzon
Feed of 09/15/2026
Also filed as Pat Bauzon
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Apr 1, 2016 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Union City, Ca
- Fidelity Personal And Workplace Advisors formerMay 22, 2023 to Mar 31, 2025 · Berkeley, Ca
- Twin Peaks Wealth Advisors independent RIADec 15, 2022 to Feb 28, 2023 · San Francisco, Ca
- Investor Fan independent RIANov 18, 2021 to Jan 17, 2023 · Newark, Ca
- LPL Financial LLC BD affiliatedAug 23, 2018 to Nov 12, 2021 · Fremont, Ca
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Twin Peaks Wealth Advisors to Fidelity Personal And Workplace Advisorsleft Feb 28, 2023, registered May 22, 2023 (83 days) · RIA to affiliated broker-dealer or bank
- Investor Fan to Twin Peaks Wealth Advisorsleft Jan 17, 2023, registered Dec 15, 2022 (-33 days) · RIA to a newly registered adviser
- LPL Financial LLC to Investor Fanleft Nov 12, 2021, registered Nov 18, 2021 (6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Signals
- Patrick Bauzon left Twin Peaks Wealth Advisors for Fidelity Personal And Workplace Advisors (registered 2023-05-22)Feb 28, 2023 · Advisor changed firm · fact
- Patrick Bauzon left Investor Fan for Twin Peaks Wealth Advisors (registered 2022-12-15)Jan 17, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address