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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

DAVID RAYMOND HARTNESS

Advisor at CAPTRUST

Wilmington, NC

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Search this name across graphsid dfx:ria:2322cfc4-8d5c-4e84-ed48-8854ca3a5821

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 31, 2001 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: CAPTRUST
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 11, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Nov 11, 1993
First registration: Dec 31, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2418328

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
Captrust	Institutional manager	Dec 1, 2022	n/a	yes	Wilmington, NC	Current employment
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Oct 28, 2016	Oct 28, 2022	no	201, NC	Previous registration
IRONGATE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 10, 2013	Dec 31, 2015	no	WILMINGTON, NC	Previous registration
IRONGATE PARTNERS, INC.	Former SEC adviser	Dec 15, 2004	Mar 21, 2017	no	WILMINGTON, NC	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 31, 2001	Nov 5, 2004	no	WILMINGTON, 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
HIGHTOWER ADVISORS, LLC	Captrust	Oct 28, 2022	Dec 1, 2022	34	Firm change	Other
IRONGATE PARTNERS, INC.	IRONGATE INVESTMENT MANAGEMENT, LLC	Mar 21, 2017	Jan 10, 2013	-1,531	Firm change after gap	Other
IRONGATE INVESTMENT MANAGEMENT, LLC	HIGHTOWER ADVISORS, LLC	Dec 31, 2015	Oct 28, 2016	302	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	IRONGATE PARTNERS, INC.	Nov 5, 2004	Dec 15, 2004	40	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
145323:175112:NC:2022-10-28	Oct 28, 2022	Dec 1, 2022	, NC	Firm change

Relationships

Registered with (5)

→ CAPTRUSTRegistered adviserregistration: current employment
Dec 1, 2022 to presentfactForm ADV
→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 28, 2016 to Oct 28, 2022factForm ADV
→ IRONGATE PARTNERS, INC.Registered adviserregistration: previous registration
Dec 15, 2004 to Mar 21, 2017factForm ADV
→ IRONGATE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 10, 2013 to Dec 31, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 31, 2001 to Nov 5, 2004factForm ADV

Dated events

Occurred
Oct 28, 2022
Advisor changed firm
David Raymond Hartness left Hightower Advisors, Llc for Captrust (registered 2022-12-01)
Form ADVobserved 6 days ago