Gustavo Oliverto De La Roca

Employer firm

Hartford Funds CRD 147746

$152B regulatory AUM 4 advisory clients

Reported services (Item 5G)

• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Selection of other advisers
• REGISTRANT PROVIDES INVESTMENT ADVICE TO STATES IN CONNECTION WITH 529 PLANS AND MODEL RECOMMENDATIONS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2002 → 10/2020
  Franklin Tempelton Distributors Inc.
  Rancho Cordova, CA
• 07/2019 → 10/2020
  Franklin Templeton Financial Services Corp.
  Rancho Cordova, CA
• 10/2020 → 08/2023
  Lpl Financial Llc
  Woodland Hills, CA
• 10/2020 → 08/2023
  Premier America Credit Union
  Woodland Hills, CA
• 09/2023 → 06/2024
  Connectus Wealth Advisers
  Hunt Valley, MD
• 06/2024 → 02/2025
  Kovitz Investment Group Partners, Llc
  Glendale, CA
• 03/2025 → Present
  Hartford Funds Distributors, Llc
  Wayne, PA
• 03/2025 → Present
  Hartford Funds Management Company, Llc
  Wayne, PA

Previous Registrations

• 2025-01-06 → 2025-03-13
  Northcoast Asset Management Llc
  Glendale, CA
• 2024-06-03 → 2024-12-31
  Northcoast Asset Management Llc
  Glendale, CA
• 2023-10-03 → 2024-07-25
  Connectus Wealth
  Glendale, CA
• 2021-08-02 → 2023-10-02
  Lpl Financial Llc
  Woodland Hills, CA
  Woodland Hills, CA
  Westlake Village, CA
  Westlake Village, CA
  Thousand Oaks, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-07-30
• S63 Uniform Securities Agent State Law Examination
  2002-12-06

Other Names

• Gustavo Oliverto De La Roca
• Gustavo Oliverto De La Roca