DFX Intelligence

Data Factory

RIA / WealthAdvisor29 years in industry

ROGER STAN BRACKEN

Advisor at PINNACLE PEAK WEALTH MANAGEMENT

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:351629f1-957c-353f-fd0c-b2958f04c651

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2008 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: PINNACLE PEAK WEALTH MANAGEMENT
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 18, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66|S65|S63
First exam: Nov 18, 1996
First registration: Jun 20, 2008
Dual registered: no
Other names: ROGER S BRACKEN|ROGER STANLEY BRACKEN
IAPD individual key: 2792554

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
PINNACLE PEAK WEALTH MANAGEMENT	State registered	Sep 25, 2019	n/a	yes	SCOTTSDALE, AZ	Current employment
Dynamic	Independent wealth	Sep 13, 2016	Dec 31, 2019	no	Scottsdale, AZ\|PHOENIX, AZ\|Scottsdale, AZ\|SCOTTSDALE, AZ	Previous registration
POGSON & MATT WEALTH MANAGEMENT GROUP	State registered	Dec 19, 2014	Sep 10, 2016	no	PHOENIX, AZ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 28, 2012	Dec 23, 2013	no	Scottsdale, AZ	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 7, 2011	Dec 23, 2013	no	SCOTTSDALE, AZ	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Oct 13, 2010	Nov 12, 2010	no	WEST LAFAYETTE, IN	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 8, 2010	Jul 1, 2010	no	SCOTTSDALE, AZ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 8, 2010	Jul 1, 2010	no	Scottsdale, AZ	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 20, 2008	Feb 16, 2010	no	SCOTTSDALE, AZ\|Scottsdale, AZ	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
Dynamic	PINNACLE PEAK WEALTH MANAGEMENT	Dec 31, 2019	Sep 25, 2019	-97	Firm change after gap	RIA to state RIA
POGSON & MATT WEALTH MANAGEMENT GROUP	Dynamic	Sep 10, 2016	Sep 13, 2016	3	Firm change	Other
TD AMERITRADE, INC.	POGSON & MATT WEALTH MANAGEMENT GROUP	Dec 23, 2013	Dec 19, 2014	361	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Dec 23, 2013	Aug 28, 2012	-482	Channel change	Other
ADVICE AND PLANNING SERVICES	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Nov 12, 2010	Oct 7, 2011	329	Firm change	Other
TD AMERITRADE, INC.	ADVICE AND PLANNING SERVICES	Jul 1, 2010	Oct 13, 2010	104	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jul 1, 2010	Apr 8, 2010	-84	Channel change	Other
CHARLES SCHWAB & CO., INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 16, 2010	Apr 8, 2010	51	Firm change	Other

Relationships

Registered with (7)

→ PINNACLE PEAK WEALTH MANAGEMENTRegistered adviserregistration: current employment
Sep 25, 2019 to presentfactForm ADV
→ DYNAMICRegistered adviserregistration: previous registration
Sep 13, 2016 to Dec 31, 2019factForm ADV
→ POGSON & MATT WEALTH MANAGEMENT GROUPRegistered adviserregistration: previous registration
Dec 19, 2014 to Sep 10, 2016factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 7, 2011 to Dec 23, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 28, 2012 to Dec 23, 2013factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Oct 13, 2010 to Nov 12, 2010factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jun 20, 2008 to Feb 16, 2010factForm ADV

Dated events

No dated event names this entity yet.