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RIA / WealthAdvisorCertified Financial Planner18 years in industry

SIMON MARK BERESFORD

Advisor at CORIENT

Frisco, TX

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:7726ed25-e650-c929-9756-c1ed054003f3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 14, 2016 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: CORIENT
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: May 1, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jun 23, 2008
First registration: Jun 14, 2016
Dual registered: no
Other names: SIMON MARK BERESFORD|SIMON M BERESFORD
IAPD individual key: 5372964

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
Corient	Independent wealth	Jul 7, 2026	n/a	yes	Frisco, TX	Current employment
CAPITAL ADVISORS, INC.	Former SEC adviser	Aug 1, 2018	Jul 17, 2026	no	Frisco, TX\|TULSA, OK	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 27, 2018	Jul 20, 2018	no	Frisco, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2018	Jul 20, 2018	no	OMAHA, NE	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jun 14, 2016	Feb 26, 2018	no	SAINT LOUIS, MO	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
CAPITAL ADVISORS, INC.	Corient	Jul 17, 2026	Jul 7, 2026	-10	Bulk transfer	RIA to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Jul 20, 2018	Feb 27, 2018	-143	Channel change	Other
TD AMERITRADE, INC.	CAPITAL ADVISORS, INC.	Jul 20, 2018	Aug 1, 2018	12	Firm change	Other
SCOTTRADE INVESTMENT MANAGEMENT	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 26, 2018	Feb 26, 2018	0	Bulk transfer	Ibd to RIA

Team moves

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

Team	Left	Joined	From	Kind
111514:7870:NE:2018-07-06	Jul 20, 2018	Feb 27, 2018	OMAHA, NE	Firm change after gap

Relationships

Registered with (5)

→ CORIENTRegistered adviserregistration: current employment
Jul 7, 2026 to presentfactForm ADV
→ CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 1, 2018 to Jul 17, 2026factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2018 to Jul 20, 2018factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 27, 2018 to Jul 20, 2018factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jun 14, 2016 to Feb 26, 2018factForm ADV

Dated events

No dated event names this entity yet.