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RIA / WealthAdvisor14 years in industry

David A Hathaway

Advisor at SHP WEALTH MANAGEMENT, LLC

PLYMOUTH, MA

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Search this name across graphsid dfx:ria:886b3c78-fb67-3e52-66d0-cd48b330cd7e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 10, 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: SHP WEALTH 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: Sep 7, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 7, 2012
First registration: Sep 10, 2012
Dual registered: no
Other names: David A Hathaway|David Hathaway
IAPD individual key: 5838143

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
SHP WEALTH MANAGEMENT, LLC	Independent wealth	Jul 30, 2018	n/a	yes	PLYMOUTH, MA	Current employment
SANTANDER SECURITIES	Bd affiliated wealth	Jan 5, 2018	Jul 31, 2018	no	Boston, MA	Previous registration
CAPITAL ADVISORS, INC.	Former SEC adviser	Jun 24, 2016	May 19, 2017	no	TULSA, OK	Previous registration
SII INVESTMENTS, INC.	Former SEC adviser	Sep 10, 2012	May 10, 2016	no	TULSA, OK	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
SANTANDER SECURITIES	SHP WEALTH MANAGEMENT, LLC	Jul 31, 2018	Jul 30, 2018	-1	Firm change	Ibd to RIA
CAPITAL ADVISORS, INC.	SANTANDER SECURITIES	May 19, 2017	Jan 5, 2018	231	Firm change	Other
SII INVESTMENTS, INC.	CAPITAL ADVISORS, INC.	May 10, 2016	Jun 24, 2016	45	Firm change	Other

Relationships

Registered with (4)

→ SHP WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jul 30, 2018 to presentfactForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Jan 5, 2018 to Jul 31, 2018factForm ADV
→ CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Jun 24, 2016 to May 19, 2017factForm ADV
→ SII INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 10, 2012 to May 10, 2016factForm ADV

Dated events

No dated event names this entity yet.