DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner14 years in industry

DAVID MATTHEW CARROLL

Advisor at ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

SYRACUSE, NY

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:71a2f029-7977-104f-572f-f6ffa53310e1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 1
Observed: Dec 23, 2013 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

David Matthew Carroll

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
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: Jul 17, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jul 17, 2012
First registration: Dec 23, 2013
Dual registered: no
Other names: DAVID M CARROLL
IAPD individual key: 6034191

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
ROCKBRIDGE INVESTMENT MANAGEMENT, LLC	Independent wealth	May 7, 2021	n/a	yes	SYRACUSE, NY	Current employment
WELLS FARGO ADVISORS	Wirehouse	Dec 23, 2013	Oct 30, 2014	no	SYRACUSE, 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
WELLS FARGO ADVISORS	ROCKBRIDGE INVESTMENT MANAGEMENT, LLC	Oct 30, 2014	May 7, 2021	2,381	Firm change after gap	Wirehouse to RIA

Relationships

Registered with (2)

→ ROCKBRIDGE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
May 7, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 23, 2013 to Oct 30, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:71a2f029-7977-104f-572f-f6ffa53310e1
First observed: Dec 23, 2013
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DAVID MATTHEW CARROLL

Advisor at ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

SYRACUSE, NY

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:71a2f029-7977-104f-572f-f6ffa53310e1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

Independent wealth

May 7, 2021

n/a

yes

SYRACUSE, NY

Current employment

WELLS FARGO ADVISORS

Wirehouse

Dec 23, 2013

Oct 30, 2014

SYRACUSE, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WELLS FARGO ADVISORS

ROCKBRIDGE INVESTMENT MANAGEMENT, LLC

Oct 30, 2014

May 7, 2021

2,381

Firm change after gap

Wirehouse to RIA