DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)22 years in industry

SEAN BUXTON

Advisor at HIGHTOWER ADVISORS, LLC

Campbell, CA | CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e9fb7b5-aa3c-d350-eaf9-7a132e13078a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Dec 3, 2003 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: HIGHTOWER ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 2, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Dec 2, 2003
First registration: Dec 3, 2003
Dual registered: yes, broker-dealer
Other names: SEAN OLIVER BUXTON
IAPD individual key: 4697339

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
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Feb 12, 2026	n/a	yes	CHICAGO, IL\|Campbell, CA	Current employment
REACT INVESTMENT SOLUTIONS, LLC	No RAUM reported	Feb 3, 2022	Dec 31, 2023	no	LOS GATOS, CA	Previous registration
LEGACY CAPITAL GROUP CALIFORNIA, INC.	Mixed wealth	Mar 4, 2014	Feb 9, 2026	no	LOS GATOS, CA	Previous registration
BEACON POINTE WEALTH ADVISORS, LLC	Former SEC adviser	Sep 15, 2011	Feb 3, 2014	no	SAN JOSE, CA\|NEWPORT BEACH, CA	Previous registration
EXCELCIA FINANCIAL GROUP, LTD.	n/a	Jan 6, 2011	Oct 31, 2011	no	SAN JOSE, CA	Previous registration
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Bd affiliated wealth	May 27, 2010	Dec 3, 2010	no	SAN JOSE, CA\|Cedar Rapids, IA\|SAN JOSE, CA	Previous registration
AFA ADVISOR SERVICES LLC	n/a	Feb 29, 2008	Apr 29, 2010	no	SANTA CLARA, CA\|CALABASAS, CA\|SAN JOSE, CA	Previous registration
PRIMESOLUTIONS SECURITIES, INC.	n/a	Jul 13, 2006	Mar 12, 2008	no	CAPITOLA, CA	Previous registration
PRIVATE CONSULTING GROUP, INC.	n/a	Sep 14, 2004	Jun 22, 2006	no	SANTA CLARA, CA\|PORTLAND, OR\|SANTA CLARA, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 3, 2003	Aug 27, 2004	no	CAMPBELL, CA	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
LEGACY CAPITAL GROUP CALIFORNIA, INC.	REACT INVESTMENT SOLUTIONS, LLC	Feb 9, 2026	Feb 3, 2022	-1,467	Firm change after gap	RIA to RIA
REACT INVESTMENT SOLUTIONS, LLC	HIGHTOWER ADVISORS, LLC	Dec 31, 2023	Feb 12, 2026	774	Firm change after gap	Other
BEACON POINTE WEALTH ADVISORS, LLC	LEGACY CAPITAL GROUP CALIFORNIA, INC.	Feb 3, 2014	Mar 4, 2014	29	Firm change	Other
EXCELCIA FINANCIAL GROUP, LTD.	BEACON POINTE WEALTH ADVISORS, LLC	Oct 31, 2011	Sep 15, 2011	-46	Firm change after gap	Other
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	EXCELCIA FINANCIAL GROUP, LTD.	Dec 3, 2010	Jan 6, 2011	34	Firm change	Other
AFA ADVISOR SERVICES LLC	BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.	Apr 29, 2010	May 27, 2010	28	Firm change	Other
PRIMESOLUTIONS SECURITIES, INC.	AFA ADVISOR SERVICES LLC	Mar 12, 2008	Feb 29, 2008	-12	Firm change	Other
PRIVATE CONSULTING GROUP, INC.	PRIMESOLUTIONS SECURITIES, INC.	Jun 22, 2006	Jul 13, 2006	21	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	PRIVATE CONSULTING GROUP, INC.	Aug 27, 2004	Sep 14, 2004	18	Firm change	Other

Relationships

Registered with (10)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Feb 12, 2026 to presentfactForm ADV
→ LEGACY CAPITAL GROUP CALIFORNIA, INC.Registered adviserregistration: previous registration
Mar 4, 2014 to Feb 9, 2026factForm ADV
→ REACT INVESTMENT SOLUTIONS, LLCRegistered adviserregistration: previous registration
Feb 3, 2022 to Dec 31, 2023factForm ADV
→ BEACON POINTE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 15, 2011 to Feb 3, 2014factForm ADV
→ EXCELCIA FINANCIAL GROUP, LTD.Registered adviserregistration: previous registration
Jan 6, 2011 to Oct 31, 2011factForm ADV
→ BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 27, 2010 to Dec 3, 2010factForm ADV
→ AFA ADVISOR SERVICES LLCRegistered adviserregistration: previous registration
Feb 29, 2008 to Apr 29, 2010factForm ADV
→ PRIMESOLUTIONS SECURITIES, INC.Registered adviserregistration: previous registration
Jul 13, 2006 to Mar 12, 2008factForm ADV
→ PRIVATE CONSULTING GROUP, INC.Registered adviserregistration: previous registration
Sep 14, 2004 to Jun 22, 2006factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 3, 2003 to Aug 27, 2004factForm ADV

Dated events

Occurred
Feb 9, 2026
Advisor changed firm
Sean Buxton left Legacy Capital Group California, Inc. for React Investment Solutions, Llc (registered 2022-02-03)
Form ADVobserved 6 days ago
Occurred
Dec 31, 2023
Advisor changed firm
Sean Buxton left React Investment Solutions, Llc for Hightower Advisors, Llc (registered 2026-02-12)
Form ADVobserved 6 days ago