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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

DAVID BLAIR THOMPSON

Advisor at SPARTA WEALTH PARTNERS

CHARLOTTE, NC

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Search this name across graphsid dfx:ria:0ece4420-5c55-3893-e1f5-63dae4d98dde

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 12, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SPARTA WEALTH PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 5, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 5, 2006
First registration: Feb 12, 2010
Dual registered: yes, broker-dealer
Other names: DAVID Blair THOMPSON|Blair Thompson
IAPD individual key: 5120504

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
SPARTA WEALTH PARTNERS	Independent wealth	Apr 18, 2022	n/a	yes	CHARLOTTE, NC	Current employment
ALDEN CAPITAL	Independent wealth	Jun 5, 2020	Apr 13, 2022	no	Charlotte, NC\|WAYNE, PA	Previous registration
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	Jun 22, 2018	Dec 5, 2019	no	GREENVILLE, SC\|Charlotte, NC	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Dec 17, 2014	May 2, 2018	no	CHARLOTTE, NC\|SCHAUMBURG, IL	Previous registration
CERTUS INVESTMENT ADVISORS, LLC	Former SEC adviser	Sep 18, 2012	Oct 27, 2014	no	CHARLOTTE, NC	Previous registration
CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Aug 15, 2011	Jun 19, 2012	no	RALEIGH, NC	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Feb 12, 2010	Aug 17, 2011	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ALDEN CAPITAL	SPARTA WEALTH PARTNERS	Apr 13, 2022	Apr 18, 2022	5	Firm change	RIA to RIA
TD PRIVATE CLIENT WEALTH LLC	ALDEN CAPITAL	Dec 5, 2019	Jun 5, 2020	183	Firm change	Ibd to RIA
CETERA INVESTMENT ADVISERS LLC	TD PRIVATE CLIENT WEALTH LLC	May 2, 2018	Jun 22, 2018	51	Firm change	Ibd to ibd
CERTUS INVESTMENT ADVISORS, LLC	CETERA INVESTMENT ADVISERS LLC	Oct 27, 2014	Dec 17, 2014	51	Firm change	Other
CAPITAL INVESTMENT ADVISORY SERVICES, LLC	CERTUS INVESTMENT ADVISORS, LLC	Jun 19, 2012	Sep 18, 2012	91	Firm change	Other
PARK AVENUE SECURITIES LLC	CAPITAL INVESTMENT ADVISORY SERVICES, LLC	Aug 17, 2011	Aug 15, 2011	-2	Firm change	Other

Relationships

Registered with (7)

→ SPARTA WEALTH PARTNERSRegistered adviserregistration: current employment
Apr 18, 2022 to presentfactForm ADV
→ ALDEN CAPITALRegistered adviserregistration: previous registration
Jun 5, 2020 to Apr 13, 2022factForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
Jun 22, 2018 to Dec 5, 2019factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Dec 17, 2014 to May 2, 2018factForm ADV
→ CERTUS INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 18, 2012 to Oct 27, 2014factForm ADV
→ CAPITAL INVESTMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Aug 15, 2011 to Jun 19, 2012factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Feb 12, 2010 to Aug 17, 2011factForm ADV

Dated events

Occurred
Apr 13, 2022
Advisor changed firm
David Blair Thompson left Alden Capital for Sparta Wealth Partners (registered 2022-04-18)
Form ADVobserved 5 days ago