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RIA / WealthAdvisor33 years in industry

DANA W LYON

Advisor at CAPITAL WISE ADVISORY

WESLEY CHAPEL, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 31, 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: CAPITAL WISE ADVISORY
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: Apr 12, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 12, 1993
First registration: Mar 31, 2003
Dual registered: no
Other names: DANA WILLIAM LYON
IAPD individual key: 2326989

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
CAPITAL WISE ADVISORY	State registered	Apr 15, 2024	n/a	yes	WESLEY CHAPEL, FL	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 14, 2011	Nov 30, 2023	no	DACULA, GA\|DULUTH, GA\|SNELLVILLE, GA\|LILBURN, GA\|ATLANTA, GA\|LILBURN, GA\|LAWRENCEVILLE, GA\|SNELLVILLE, GA\|OAKWOOD, GA\|DACULA, GA\|TAMPA, FL\|WESLEY CHAPEL, FL\|WESLEY CHAPEL, FL\|TAMPA, FL\|WESLEY CHAPEL, FL\|TAMPA, FL\|TAMPA, FL	Previous registration
PRIVATE WEALTH COUNSEL, LLC	n/a	Feb 15, 2011	May 23, 2011	no	ALPHARETA, GA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jun 11, 2008	Jul 7, 2009	no	ROSWELL, GA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jun 6, 2008	Jul 7, 2009	no	Alpharetta, GA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Dec 19, 2006	May 22, 2008	no	ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA\|ATLANTA, GA	Previous registration
WELLSPRING WEALTH MANAGEMENT LLC	Independent wealth	Jun 21, 2005	Dec 6, 2006	no	ATLANTA, GA	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Mar 17, 2005	Dec 7, 2006	no	ATLANTA, GA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 31, 2003	Mar 31, 2005	no	ATLANTA, GA	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CAPITAL WISE ADVISORY	Nov 30, 2023	Apr 15, 2024	137	Firm change	Wirehouse to state RIA
PRIVATE WEALTH COUNSEL, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 23, 2011	Jun 14, 2011	22	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	PRIVATE WEALTH COUNSEL, LLC	Jul 7, 2009	Feb 15, 2011	588	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 7, 2009	Jun 11, 2008	-391	Channel change	Other
SUNTRUST INVESTMENT SERVICES, INC.	TD AMERITRADE, INC.	May 22, 2008	Jun 6, 2008	15	Firm change	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	WELLSPRING WEALTH MANAGEMENT LLC	Dec 7, 2006	Jun 21, 2005	-534	Firm change after gap	Other
WELLSPRING WEALTH MANAGEMENT LLC	SUNTRUST INVESTMENT SERVICES, INC.	Dec 6, 2006	Dec 19, 2006	13	Firm change	Other
CHARLES SCHWAB & CO., INC.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Mar 31, 2005	Mar 17, 2005	-14	Firm change	Other

Relationships

Registered with (9)

→ CAPITAL WISE ADVISORYRegistered adviserregistration: current employment
Apr 15, 2024 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 14, 2011 to Nov 30, 2023factForm ADV
→ PRIVATE WEALTH COUNSEL, LLCRegistered adviserregistration: previous registration
Feb 15, 2011 to May 23, 2011factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 11, 2008 to Jul 7, 2009factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jun 6, 2008 to Jul 7, 2009factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Dec 19, 2006 to May 22, 2008factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Mar 17, 2005 to Dec 7, 2006factForm ADV
→ WELLSPRING WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 21, 2005 to Dec 6, 2006factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Mar 31, 2003 to Mar 31, 2005factForm ADV

Dated events

Occurred
Nov 30, 2023
Advisor changed firm
Dana W Lyon left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Capital Wise Advisory (registered 2024-04-15)
Form ADVobserved 5 days ago