DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Theologos Stavros Basis

Advisor at SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

NEW YORK, NY

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:3a25ecf7-9812-8b67-2290-8e1cdc86801f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 10, 2009 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: SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC
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: May 22, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 22, 1995
First registration: Jun 10, 2009
Dual registered: yes, broker-dealer
Other names: THEO BASIS|Theo Stavros Basis
IAPD individual key: 2574740

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
SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC	State registered	Apr 16, 2025	n/a	yes	NEW YORK, NY	Current employment
LAIDLAW WEALTH MANAGEMENT LLC	Independent wealth	Nov 15, 2021	Feb 28, 2025	no	NEW YORK, NY	Previous registration
VANDERBILT ADVISORY SERVICES	Bd affiliated wealth	Apr 6, 2021	Aug 17, 2021	no	WOODBURY, NY	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jul 8, 2019	Mar 30, 2021	no	DES MOINES, IA	Previous registration
FLAGSTAR SECURITIES, INC.	Independent wealth	Aug 15, 2011	Oct 26, 2018	no	NEW YORK, NY\|New York, NY	Previous registration
TD WEALTH MANAGEMENT SERVICES INC.	n/a	Jun 10, 2009	Jan 19, 2010	no	PHILADELPHIA, PA	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
LAIDLAW WEALTH MANAGEMENT LLC	SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC	Feb 28, 2025	Apr 16, 2025	47	Firm change	RIA to state RIA
VANDERBILT ADVISORY SERVICES	LAIDLAW WEALTH MANAGEMENT LLC	Aug 17, 2021	Nov 15, 2021	90	Firm change	Ibd to RIA
PRINCIPAL SECURITIES, INC.	VANDERBILT ADVISORY SERVICES	Mar 30, 2021	Apr 6, 2021	7	Firm change	Ibd to ibd
FLAGSTAR SECURITIES, INC.	PRINCIPAL SECURITIES, INC.	Oct 26, 2018	Jul 8, 2019	255	Firm change	RIA to ibd
TD WEALTH MANAGEMENT SERVICES INC.	FLAGSTAR SECURITIES, INC.	Jan 19, 2010	Aug 15, 2011	573	Firm change after gap	Other

Relationships

Registered with (6)

→ SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLCRegistered adviserregistration: current employment
Apr 16, 2025 to presentfactForm ADV
→ LAIDLAW WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 15, 2021 to Feb 28, 2025factForm ADV
→ VANDERBILT ADVISORY SERVICESRegistered adviserregistration: previous registration
Apr 6, 2021 to Aug 17, 2021factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Jul 8, 2019 to Mar 30, 2021factForm ADV
→ FLAGSTAR SECURITIES, INC.Registered adviserregistration: previous registration
Aug 15, 2011 to Oct 26, 2018factForm ADV
→ TD WEALTH MANAGEMENT SERVICES INC.Registered adviserregistration: previous registration
Jun 10, 2009 to Jan 19, 2010factForm ADV

Dated events

Occurred
Feb 28, 2025
Advisor changed firm
Theologos Stavros Basis left Laidlaw Wealth Management Llc for Spartan Capital Private Wealth Management Llc (registered 2025-04-16)
Form ADVobserved 5 days ago