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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)18 years in industry

DAVID CARLETON MITCHELL

Advisor at COMMONWEALTH FINANCIAL NETWORK

Old Saybrook, CT | GLASTONBURY, CT

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:7e4d93a3-5e61-e865-f250-3f9e3fda8719

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Feb 28, 2008 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: COMMONWEALTH FINANCIAL NETWORK
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: Feb 27, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S66
First exam: Feb 27, 2008
First registration: Feb 28, 2008
Dual registered: yes, broker-dealer
Other names: DAVID MITCHELL
IAPD individual key: 5402617

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
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Feb 9, 2022	n/a	yes	GLASTONBURY, CT\|Old Saybrook, CT	Current employment
NEWFLEET ASSET MANAGEMENT, LLC	Former SEC adviser	Aug 10, 2016	Dec 21, 2021	no	HARTFORD, CT	Previous registration
VIRTUS INVESTMENT ADVISERS, LLC	Asset manager	Mar 20, 2012	Apr 1, 2016	no	HARTFORD, CT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 28, 2008	Sep 8, 2008	no	CHICAGO, IL	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
NEWFLEET ASSET MANAGEMENT, LLC	COMMONWEALTH FINANCIAL NETWORK	Dec 21, 2021	Feb 9, 2022	50	Firm change	Other
VIRTUS INVESTMENT ADVISERS, LLC	NEWFLEET ASSET MANAGEMENT, LLC	Apr 1, 2016	Aug 10, 2016	131	Channel change	Other
UBS FINANCIAL SERVICES INC.	VIRTUS INVESTMENT ADVISERS, LLC	Sep 8, 2008	Mar 20, 2012	1,289	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
106982:104532:CT:2016-04-01	Apr 1, 2016	Aug 10, 2016	HARTFORD, CT	Firm change

Relationships

Registered with (4)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Feb 9, 2022 to presentfactForm ADV
→ NEWFLEET ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 10, 2016 to Dec 21, 2021factForm ADV
→ VIRTUS INVESTMENT ADVISERS, LLCRegistered adviserregistration: previous registration
Mar 20, 2012 to Apr 1, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 28, 2008 to Sep 8, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e4d93a3-5e61-e865-f250-3f9e3fda8719
First observed: Feb 28, 2008
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 CARLETON MITCHELL

Advisor at COMMONWEALTH FINANCIAL NETWORK

Old Saybrook, CT | GLASTONBURY, CT

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:7e4d93a3-5e61-e865-f250-3f9e3fda8719

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:42 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

COMMONWEALTH FINANCIAL NETWORK

National bd RIA

Feb 9, 2022

n/a

yes

GLASTONBURY, CT|Old Saybrook, CT

Current employment

NEWFLEET ASSET MANAGEMENT, LLC

Former SEC adviser

Aug 10, 2016

Dec 21, 2021

HARTFORD, CT

Previous registration

VIRTUS INVESTMENT ADVISERS, LLC

Asset manager

Mar 20, 2012

Apr 1, 2016

HARTFORD, CT

Previous registration

UBS FINANCIAL SERVICES INC.

Wirehouse

Feb 28, 2008

Sep 8, 2008

CHICAGO, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

NEWFLEET ASSET MANAGEMENT, LLC

COMMONWEALTH FINANCIAL NETWORK

Dec 21, 2021

Feb 9, 2022

Firm change

Other

VIRTUS INVESTMENT ADVISERS, LLC

NEWFLEET ASSET MANAGEMENT, LLC

Apr 1, 2016

Aug 10, 2016

131

Channel change

Other

UBS FINANCIAL SERVICES INC.

VIRTUS INVESTMENT ADVISERS, LLC

Sep 8, 2008

Mar 20, 2012

1,289

Firm change after gap

Other

Team

Left

Joined

From

Kind

106982:104532:CT:2016-04-01

Apr 1, 2016

Aug 10, 2016

HARTFORD, CT

Firm change