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RIA / WealthAdvisor27 years in industry

Scott Leonard Dynan

Advisor at ROUND ROCK ADVISORS LLC

WILTON, CT

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Search this name across graphsid dfx:ria:5b4aaa65-9106-6539-0bb2-0bb42d62e48b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 24, 2006 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: ROUND ROCK ADVISORS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 16, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 16, 1999
First registration: Mar 24, 2006
Dual registered: no
IAPD individual key: 3157770

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
ROUND ROCK ADVISORS LLC	Independent wealth	Sep 3, 2020	n/a	yes	WILTON, CT	Current employment
WESTERN INTERNATIONAL SECURITIES	Former SEC adviser	Jun 13, 2019	Jun 4, 2020	no	Pasadena, CA\|New York, NY	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Apr 27, 2006	Sep 4, 2018	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	Mar 24, 2006	May 9, 2006	no	NEW YORK, NY	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
WESTERN INTERNATIONAL SECURITIES	ROUND ROCK ADVISORS LLC	Jun 4, 2020	Sep 3, 2020	91	Firm change	Ibd to RIA
NEUBERGER BERMAN BD LLC	WESTERN INTERNATIONAL SECURITIES	Sep 4, 2018	Jun 13, 2019	282	Firm change	Other
CLEARBRIDGE INVESTMENTS, LLC	NEUBERGER BERMAN BD LLC	May 9, 2006	Apr 27, 2006	-12	Firm change	Other

Relationships

Registered with (4)

→ ROUND ROCK ADVISORS LLCRegistered adviserregistration: current employment
Sep 3, 2020 to presentfactForm ADV
→ WESTERN INTERNATIONAL SECURITIESRegistered adviserregistration: previous registration
Jun 13, 2019 to Jun 4, 2020factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Apr 27, 2006 to Sep 4, 2018factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 24, 2006 to May 9, 2006factForm ADV

Dated events

No dated event names this entity yet.