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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

John Burton Rowoldt

Advisor at SB ADVISORY, LLC

ATLANTA, GA | Chicago, IL

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Search this name across graphsid dfx:ria:23ac6364-3092-7e48-2d2d-a4102b681ab9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 3, 2018 to Sep 15, 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: SB ADVISORY, LLC
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 25, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 2
Registered states: 8
Exams: S63|S66
First exam: Apr 25, 2001
First registration: Jan 3, 2018
Dual registered: yes, broker-dealer
Other names: JOHN BURTON ROWOLDT|John Rowoldt
IAPD individual key: 2616896

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
SB ADVISORY, LLC	Independent wealth	May 14, 2025	n/a	yes	Chicago, IL\|ATLANTA, GA	Current employment
SAN BLAS ADVISORY, INC.	Independent wealth	Apr 16, 2025	n/a	yes	ATLANTA, GA\|Chicago, IL	Current employment
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 28, 2023	Apr 15, 2025	no	Windsor, CT\|Geneva, IL\|West Des Moines, IA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Jan 22, 2019	Oct 1, 2021	no	Geneva, IL\|Algonquin, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 3, 2018	Jan 18, 2019	no	CHICAGO, IL	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
VOYA FINANCIAL ADVISORS, INC.	SAN BLAS ADVISORY, INC.	Apr 15, 2025	Apr 16, 2025	1	Firm change	Ibd to RIA
U.S. BANCORP INVESTMENTS, INC.	VOYA FINANCIAL ADVISORS, INC.	Oct 1, 2021	Sep 28, 2023	727	Firm change after gap	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	U.S. BANCORP INVESTMENTS, INC.	Jan 18, 2019	Jan 22, 2019	4	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ SB ADVISORY, LLCRegistered adviserregistration: current employment
May 14, 2025 to presentfactForm ADV
→ SAN BLAS ADVISORY, INC.Registered adviserregistration: current employment
Apr 16, 2025 to presentfactForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 28, 2023 to Apr 15, 2025factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 22, 2019 to Oct 1, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 3, 2018 to Jan 18, 2019factForm ADV

Dated events

Occurred
Apr 15, 2025
Advisor changed firm
John Burton Rowoldt left Voya Financial Advisors, Inc. for San Blas Advisory, Inc. (registered 2025-04-16)
Form ADVobserved 6 days ago