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RIA / WealthAdvisor23 years in industry

PHILIP HERBERT ELLIS

Advisor at BLUE IGUANA FINANCIAL, LLC

ST. JOSEPH, MI

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Search this name across graphsid dfx:ria:5b236ea1-5efd-a00d-7f32-2de2b23eb217

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Aug 30, 2013 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: BLUE IGUANA FINANCIAL, 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: Mar 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65
First exam: Mar 29, 2013
First registration: Aug 30, 2013
Dual registered: no
Other names: PHILIP H ELLIS
IAPD individual key: 6218370

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
BLUE IGUANA FINANCIAL, LLC	State registered	Nov 25, 2024	n/a	yes	ST. JOSEPH, MI	Current employment
Oneseven	Independent wealth	May 1, 2023	Aug 5, 2024	no	Saint Joseph, MI\|BEACHWOOD, OH	Previous registration
RED OAK CAPITAL MANAGEMENT, INC.	Former SEC adviser	Mar 25, 2019	Nov 3, 2023	no	Saint Joseph, MI\|OAK BROOK, IL\|Mishawaka, IN	Previous registration
HAYDEN ROYAL	Former SEC adviser	Nov 12, 2015	Jan 28, 2019	no	ST. JOSEPH, MI\|CHARLOTTE, NC	Previous registration
DYNASTY CAPITAL MANAGEMENT, INC	n/a	Aug 30, 2013	Sep 8, 2015	no	SAINT JOSEPH, MI\|ENGLEWOOD, CO	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
Oneseven	BLUE IGUANA FINANCIAL, LLC	Aug 5, 2024	Nov 25, 2024	112	Firm change	RIA to state RIA
RED OAK CAPITAL MANAGEMENT, INC.	Oneseven	Nov 3, 2023	May 1, 2023	-186	Firm change after gap	RIA to RIA
HAYDEN ROYAL	RED OAK CAPITAL MANAGEMENT, INC.	Jan 28, 2019	Mar 25, 2019	56	Firm change	RIA to RIA
DYNASTY CAPITAL MANAGEMENT, INC	HAYDEN ROYAL	Sep 8, 2015	Nov 12, 2015	65	Firm change	Other

Relationships

Registered with (5)

→ BLUE IGUANA FINANCIAL, LLCRegistered adviserregistration: current employment
Nov 25, 2024 to presentfactForm ADV
→ ONESEVENRegistered adviserregistration: previous registration
May 1, 2023 to Aug 5, 2024factForm ADV
→ RED OAK CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 25, 2019 to Nov 3, 2023factForm ADV
→ HAYDEN ROYALRegistered adviserregistration: previous registration
Nov 12, 2015 to Jan 28, 2019factForm ADV
→ DYNASTY CAPITAL MANAGEMENT, INCRegistered adviserregistration: previous registration
Aug 30, 2013 to Sep 8, 2015factForm ADV

Dated events

Occurred
Aug 5, 2024
Advisor changed firm
Philip Herbert Ellis left Oneseven for Blue Iguana Financial, Llc (registered 2024-11-25)
Form ADVobserved 4 days ago
Occurred
Nov 3, 2023
Advisor changed firm
Philip Herbert Ellis left Red Oak Capital Management, Inc. for Oneseven (registered 2023-05-01)
Form ADVobserved 4 days ago