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RIA / WealthAdvisor24 years in industry

David Carroll Colby

Advisor at MARINER

Bedford, NH

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Search this name across graphsid dfx:ria:6622af21-7b98-e54c-45cb-68db91fb3d08

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jul 26, 2005 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: MARINER
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: Aug 1, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 6, 2003
First registration: Jul 26, 2005
Dual registered: no
IAPD individual key: 4477744

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
Mariner	Bd affiliated wealth	Nov 13, 2024	n/a	yes	Bedford, NH	Current employment
AVANTAX ADVISORY SERVICES	Former SEC adviser	Jun 2, 2023	Nov 5, 2024	no	DALLAS, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 3, 2019	May 19, 2023	no	Bedford, NH	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Mar 7, 2019	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jul 26, 2005	Jul 13, 2018	no	DURHAM, NC\|MERRIMACK, NH\|MERRIMACK, NH	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
AVANTAX ADVISORY SERVICES	Mariner	Nov 5, 2024	Nov 13, 2024	8	Firm change	Ibd to ibd
CHARLES SCHWAB & CO., INC.	AVANTAX ADVISORY SERVICES	May 19, 2023	Jun 2, 2023	14	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	CHARLES SCHWAB & CO., INC.	Mar 7, 2019	Apr 3, 2019	27	Firm change	Ibd to ibd
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
288590:5393:MA:2019-01-30	Mar 7, 2019	Apr 3, 2019	BOSTON, MA	Firm change

Relationships

Registered with (5)

→ MARINERRegistered adviserregistration: current employment
Nov 13, 2024 to presentfactForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Jun 2, 2023 to Nov 5, 2024factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 3, 2019 to May 19, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Mar 7, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jul 26, 2005 to Jul 13, 2018factForm ADV

Dated events

Occurred
Nov 5, 2024
Advisor changed firm
David Carroll Colby left Avantax Advisory Services for Mariner (registered 2024-11-13)
Form ADVobserved 5 days ago
Occurred
May 19, 2023
Advisor changed firm
David Carroll Colby left Charles Schwab & Co., Inc. for Avantax Advisory Services (registered 2023-06-02)
Form ADVobserved 5 days ago