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RIA / WealthAdvisordual registered (broker-dealer)13 years in industry

Andrew Thomas Becket

Advisor at RBC CAPITAL MARKETS, LLC

Atlanta, GA

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Search this name across graphsid dfx:ria:7ddcf101-e092-38e6-27b4-e3f0cd3c3636

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Oct 2, 2012 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: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 2, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jan 31, 2019
First registration: Oct 2, 2012
Dual registered: yes, broker-dealer
IAPD individual key: 6074990

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
RBC CAPITAL MARKETS, LLC	National bd RIA	Aug 25, 2023	n/a	yes	Atlanta, GA\|Atlanta, GA	Current employment
LAGUNA WEALTH ADVISORS, LLC	Independent wealth	Aug 21, 2022	Apr 13, 2023	no	Cathedral City, CA\|DANA POINT, CA	Previous registration
ASPIRIANT, LLC	Independent wealth	Jan 31, 2019	May 16, 2022	no	Irvine, CA\|LOS ANGELES, CA	Previous registration
SAGENT WEALTH MANAGEMENT	Independent wealth	Oct 2, 2012	Jun 6, 2014	no	NEWPORT BEACH, CA	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
LAGUNA WEALTH ADVISORS, LLC	RBC CAPITAL MARKETS, LLC	Apr 13, 2023	Aug 25, 2023	134	Firm change	RIA to ibd
ASPIRIANT, LLC	LAGUNA WEALTH ADVISORS, LLC	May 16, 2022	Aug 21, 2022	97	Firm change	RIA to RIA
SAGENT WEALTH MANAGEMENT	ASPIRIANT, LLC	Jun 6, 2014	Jan 31, 2019	1,700	Firm change after gap	Other

Relationships

Registered with (4)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Aug 25, 2023 to presentfactForm ADV
→ LAGUNA WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 21, 2022 to Apr 13, 2023factForm ADV
→ ASPIRIANT, LLCRegistered adviserregistration: previous registration
Jan 31, 2019 to May 16, 2022factForm ADV
→ SAGENT WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Oct 2, 2012 to Jun 6, 2014factForm ADV

Dated events

Occurred
Apr 13, 2023
Advisor changed firm
Andrew Thomas Becket left Laguna Wealth Advisors, Llc for Rbc Capital Markets, Llc (registered 2023-08-25)
Form ADVobserved 4 days ago
Occurred
May 16, 2022
Advisor changed firm
Andrew Thomas Becket left Aspiriant, Llc for Laguna Wealth Advisors, Llc (registered 2022-08-21)
Form ADVobserved 4 days ago