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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

ASHLEY SULLIVAN

Advisor at STRATEGIC ADVISERS LLC

PITTSFORD, NY | ROCHESTER, NY

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Search this name across graphsid dfx:ria:55ff3bcd-d4f8-23b2-43d2-0e5681296f0b

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 25, 2007 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: 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: Sep 24, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Sep 24, 2007
First registration: Sep 25, 2007
Dual registered: yes, broker-dealer
Other names: ASHLEY TRAVIS|ASHLEY ELIZABETH TRAVIS|ASHLEY E SULLIVAN|Ashley Elizabeth Sullivan
IAPD individual key: 5395412

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	Apr 24, 2025	n/a	yes	PITTSFORD, NY\|ROCHESTER, NY	Current employment
LVW ADVISORS, LLC	Independent wealth	Jul 15, 2022	Aug 11, 2023	no	PITTSFORD, NY	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jan 22, 2013	Jul 20, 2022	no	San Diego, CA\|San Diego, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jun 30, 2011	Jan 8, 2013	no	SAN DIEGO, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 25, 2007	May 13, 2009	no	PLANO, 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
LVW ADVISORS, LLC	STRATEGIC ADVISERS LLC	Aug 11, 2023	Apr 24, 2025	622	Firm change after gap	RIA to ibd
CHARLES SCHWAB & CO., INC.	LVW ADVISORS, LLC	Jul 20, 2022	Jul 15, 2022	-5	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Jan 8, 2013	Jan 22, 2013	14	Firm change	Ibd to ibd
UBS FINANCIAL SERVICES INC.	STRATEGIC ADVISERS LLC	May 13, 2009	Jun 30, 2011	778	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (4)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jun 30, 2011 to Jan 8, 2013factForm ADV
→ LVW ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 15, 2022 to Aug 11, 2023factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jan 22, 2013 to Jul 20, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 25, 2007 to May 13, 2009factForm ADV

Dated events

Occurred
Aug 11, 2023
Advisor changed firm
Ashley Sullivan left Lvw Advisors, Llc for Strategic Advisers Llc (registered 2025-04-24)
Form ADVobserved 5 days ago
Occurred
Jul 20, 2022
Advisor changed firm
Ashley Sullivan left Charles Schwab & Co., Inc. for Lvw Advisors, Llc (registered 2022-07-15)
Form ADVobserved 5 days ago