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RIA / WealthAdvisorCertified Financial Planner11 years in industry

Spencer David Ader

Advisor at KEY CAPITAL MANAGEMENT, INC.

HENDERSONVILLE, TN

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Search this name across graphsid dfx:ria:5c076198-fb07-579f-8572-2883da52eb77

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 30, 2019 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: KEY CAPITAL MANAGEMENT, INC.
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: Aug 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Sep 27, 2019
First registration: Sep 30, 2019
Dual registered: no
Other names: SPENCER D. ADER|Spencer Ader
IAPD individual key: 7140744

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
KEY CAPITAL MANAGEMENT, INC.	Independent wealth	Jan 2, 2023	n/a	yes	HENDERSONVILLE, TN	Current employment
FOUNDATIONS INVESTMENT ADVISORS LLC	Independent wealth	May 19, 2021	Dec 12, 2022	no	PHOENIX, AZ\|BATON ROUGE, LA	Previous registration
SIMPLICITY WEALTH	Mixed wealth	Oct 5, 2020	Apr 12, 2021	no	Baton Rouge, LA\|SUMMIT, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 30, 2019	Jul 1, 2020	no	HIGH POINT, NC\|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
FOUNDATIONS INVESTMENT ADVISORS LLC	KEY CAPITAL MANAGEMENT, INC.	Dec 12, 2022	Jan 2, 2023	21	Firm change	RIA to RIA
SIMPLICITY WEALTH	FOUNDATIONS INVESTMENT ADVISORS LLC	Apr 12, 2021	May 19, 2021	37	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SIMPLICITY WEALTH	Jul 1, 2020	Oct 5, 2020	96	Firm change	Wirehouse to RIA

Relationships

Registered with (4)

→ KEY CAPITAL MANAGEMENT, INC.Registered adviserregistration: current employment
Jan 2, 2023 to presentfactForm ADV
→ FOUNDATIONS INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
May 19, 2021 to Dec 12, 2022factForm ADV
→ SIMPLICITY WEALTHRegistered adviserregistration: previous registration
Oct 5, 2020 to Apr 12, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 30, 2019 to Jul 1, 2020factForm ADV

Dated events

Occurred
Dec 12, 2022
Advisor changed firm
Spencer David Ader left Foundations Investment Advisors Llc for Key Capital Management, Inc. (registered 2023-01-02)
Form ADVobserved 6 days ago