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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

DAVID JOHN SULLIVAN

Advisor at DIMENSIONAL FUND ADVISORS LP

CHARLOTTE, NC | AUSTIN, TX

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Search this name across graphsid dfx:ria:479427cf-67e7-557c-4f67-aa1c79ff9699

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2001 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: DIMENSIONAL FUND ADVISORS LP
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 23, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Feb 23, 2000
First registration: Jun 15, 2001
Dual registered: yes, broker-dealer
Other names: DAVID J SULLIVAN
IAPD individual key: 2697368

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
DIMENSIONAL FUND ADVISORS LP	Asset manager	Jun 24, 2013	n/a	yes	AUSTIN, TX\|CHARLOTTE, NC	Current employment
Spc	Bd affiliated wealth	Feb 14, 2012	Oct 31, 2012	no	BALTIMORE, MD	Previous registration
M&T SECURITIES, INC.	n/a	May 9, 2007	Feb 3, 2012	no	BALTIMORE, MD\|BALTIMORE, MD\|BUFFALO, NY\|BUFFALO, NY\|BALTIMORE, MD	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Jun 15, 2001	Mar 26, 2007	no	OAK BROOK, 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
Spc	DIMENSIONAL FUND ADVISORS LP	Oct 31, 2012	Jun 24, 2013	236	Firm change	Other
M&T SECURITIES, INC.	Spc	Feb 3, 2012	Feb 14, 2012	11	Firm change	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	M&T SECURITIES, INC.	Mar 26, 2007	May 9, 2007	44	Firm change	Other

Relationships

Registered with (4)

→ DIMENSIONAL FUND ADVISORS LPRegistered adviserregistration: current employment
Jun 24, 2013 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Feb 14, 2012 to Oct 31, 2012factForm ADV
→ M&T SECURITIES, INC.Registered adviserregistration: previous registration
May 9, 2007 to Feb 3, 2012factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 15, 2001 to Mar 26, 2007factForm ADV

Dated events

No dated event names this entity yet.