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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

KEATON SWAYZE

Advisor at STRATEGIC ADVISERS LLC

SPRING, TX

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Search this name across graphsid dfx:ria:2dd36b6b-e523-e6e0-02b5-b820e6bff4ac

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jun 27, 2005 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: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 3, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Nov 3, 2001
First registration: Jun 27, 2005
Dual registered: yes, broker-dealer
Other names: KEATON STEWART SWAYZE
IAPD individual key: 4434951

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	SPRING, TX	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 31, 2025	no	BOSTON, MA\|SPRING, TX\|SPRING, TX	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 11, 2013	Jul 13, 2018	no	THE WOODLANDS, TX\|SOUTHLAKE, TX\|SPRING, TX	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 1, 2011	Feb 4, 2013	no	PORTLAND, OR	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Mar 16, 2010	Nov 23, 2010	no	BRAINERD, MN\|PEQUOT LAKES, MN	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Sep 24, 2009	Jan 20, 2010	no	BELLAIRE, TX	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 7, 2009	Aug 31, 2009	no	PEQUOT LAKES, MN\|IRONTON, MN	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Jul 6, 2005	Mar 20, 2006	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Jun 27, 2005	Jul 6, 2005	no	HOUSTON, TX	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm
WELLS FARGO INVESTMENTS, LLC	STRATEGIC ADVISERS LLC	Nov 23, 2010	Jun 1, 2011	190	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO INVESTMENTS, LLC	Jan 20, 2010	Mar 16, 2010	55	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	CHASE INVESTMENT SERVICES CORP.	Aug 31, 2009	Sep 24, 2009	24	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO INVESTMENTS, LLC	Mar 20, 2006	Apr 7, 2009	1,114	Firm change after gap	Other
BANC ONE SECURITIES CORPORATION	CHASE INVESTMENT SERVICES CORP.	Jul 6, 2005	Jul 6, 2005	0	Bulk transfer	Other

Relationships

Registered with (5)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Sep 11, 2013 to Jul 13, 2018factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 31, 2025factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 16, 2010 to Nov 23, 2010factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Sep 24, 2009 to Jan 20, 2010factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 27, 2005 to Jul 6, 2005factForm ADV

Dated events

No dated event names this entity yet.