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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

ERIK R HOLT

Advisor at INDEPENDENT WEALTH NETWORK, INC.

FREDERICK, MD | URBANDALE, IA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 15, 2004 to Sep 15, 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: INDEPENDENT WEALTH NETWORK, 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: Sep 7, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 13
Exams: S66
First exam: Sep 7, 2004
First registration: Sep 15, 2004
Dual registered: yes, broker-dealer
Other names: ERIC HOLT
IAPD individual key: 4635271

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
INDEPENDENT WEALTH NETWORK, INC.	Independent wealth	Jan 2, 2018	n/a	yes	FREDERICK, MD\|URBANDALE, IA	Current employment
INVESTMENT ADVISORS CORP	Former SEC adviser	May 6, 2008	Dec 31, 2017	no	HAGERSTOWN, MD	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Mar 21, 2005	May 8, 2008	no	FREDERICK, MD\|FREDERICK, MD	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 14, 2004	Feb 3, 2005	no	FREDERICK, MD	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 15, 2004	Sep 27, 2004	no	FREDERICK, MD	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
INVESTMENT ADVISORS CORP	INDEPENDENT WEALTH NETWORK, INC.	Dec 31, 2017	Jan 2, 2018	2	Firm change	Other
PARK AVENUE SECURITIES LLC	INVESTMENT ADVISORS CORP	May 8, 2008	May 6, 2008	-2	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PARK AVENUE SECURITIES LLC	Feb 3, 2005	Mar 21, 2005	46	Firm change	Other
MORGAN STANLEY DW INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 27, 2004	Oct 14, 2004	17	Firm change	Other

Relationships

Registered with (5)

→ INDEPENDENT WEALTH NETWORK, INC.Registered adviserregistration: current employment
Jan 2, 2018 to presentfactForm ADV
→ INVESTMENT ADVISORS CORPRegistered adviserregistration: previous registration
May 6, 2008 to Dec 31, 2017factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Mar 21, 2005 to May 8, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 14, 2004 to Feb 3, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 15, 2004 to Sep 27, 2004factForm ADV

Dated events

No dated event names this entity yet.