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RIA / WealthAdvisorChartered Financial Analyst19 years in industry

ANTHONY LAWRENCE BARUFFI

Advisor at NEWEDGE ADVISORS

Bellevue, WA | NEW ORLEANS, LA

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Search this name across graphsid dfx:ria:8a3205ca-c4ab-1ed8-783e-cdf701264782

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 11, 2007 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: NEWEDGE ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 10, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Analyst
Exams: S65
First exam: May 10, 2007
First registration: May 11, 2007
Dual registered: no
Other names: ANTHONY LAWRENCE BARUFFI|TONY BARUFFI
IAPD individual key: 4885067

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
NEWEDGE ADVISORS	Bd affiliated wealth	Jun 6, 2024	n/a	yes	Bellevue, WA\|NEW ORLEANS, LA	Current employment
GARDE CAPITAL, INC.	Independent wealth	Sep 17, 2015	Jun 6, 2024	no	SEATTLE, WA	Previous registration
MCMILLEN & COMPANY, INC.	Former SEC adviser	Jan 10, 2014	Apr 20, 2015	no	SEATTLE, WA\|BOISE, ID	Previous registration
INVESCO MANAGED ACCOUNTS, LLC	Other adviser	Oct 22, 2010	Jun 18, 2013	no	SEATTLE, WA	Previous registration
SEATTLE-NORTHWEST SECURITIES CORPORATION	n/a	May 11, 2007	Oct 22, 2010	no	SEATTLE, WA	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
GARDE CAPITAL, INC.	NEWEDGE ADVISORS	Jun 6, 2024	Jun 6, 2024	0	Firm change	RIA to ibd
MCMILLEN & COMPANY, INC.	GARDE CAPITAL, INC.	Apr 20, 2015	Sep 17, 2015	150	Firm change	Other
INVESCO MANAGED ACCOUNTS, LLC	MCMILLEN & COMPANY, INC.	Jun 18, 2013	Jan 10, 2014	206	Firm change	Other
SEATTLE-NORTHWEST SECURITIES CORPORATION	INVESCO MANAGED ACCOUNTS, LLC	Oct 22, 2010	Oct 22, 2010	0	Firm change	Other

Relationships

Registered with (5)

→ NEWEDGE ADVISORSRegistered adviserregistration: current employment
Jun 6, 2024 to presentfactForm ADV
→ GARDE CAPITAL, INC.Registered adviserregistration: previous registration
Sep 17, 2015 to Jun 6, 2024factForm ADV
→ MCMILLEN & COMPANY, INC.Registered adviserregistration: previous registration
Jan 10, 2014 to Apr 20, 2015factForm ADV
→ INVESCO MANAGED ACCOUNTS, LLCRegistered adviserregistration: previous registration
Oct 22, 2010 to Jun 18, 2013factForm ADV
→ SEATTLE-NORTHWEST SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 11, 2007 to Oct 22, 2010factForm ADV

Dated events

Occurred
Jun 6, 2024
Advisor changed firm
Anthony Lawrence Baruffi left Garde Capital, Inc. for Newedge Advisors (registered 2024-06-06)
Form ADVobserved 4 days ago