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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)24 years in industry

Shayne Layton

Advisor at ASCENSUS INVESTMENT ADVISORS, LLC

CARMICHAEL, CA | NEEDHAM, MA

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Search this name across graphsid dfx:ria:9183e1dd-ebd0-6b1c-1fd6-aea2c777f7f9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Apr 12, 2002 to Sep 15, 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: ASCENSUS INVESTMENT ADVISORS, LLC
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 5, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S66|S63
First exam: Oct 5, 2001
First registration: Apr 12, 2002
Dual registered: yes, broker-dealer
Other names: SHAYNE LAYTON|SHAYNE CHRISTOPHER LAYTON
IAPD individual key: 4410685

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
ASCENSUS INVESTMENT ADVISORS, LLC	Institutional manager	Oct 8, 2019	n/a	yes	CARMICHAEL, CA\|NEEDHAM, MA	Current employment
ALIGHT FINANCIAL ADVISORS, LLC	Independent wealth	Mar 17, 2015	May 10, 2019	no	SACRAMENTO, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 5, 2013	Dec 24, 2014	no	Roseville, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 25, 2012	Nov 19, 2012	no	ROSEVILLE, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 25, 2012	Nov 19, 2012	no	Roseville, CA	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Dec 10, 2010	Apr 13, 2012	no	ELK GROVE, CA\|Sacramento, CA\|ELK GROVE, CA\|Sacramento, CA\|Sacramento, CA\|SACRAMENTO, CA\|ELK GROVE, CA\|Sacramento, CA\|Sacramento, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Jan 15, 2004	Oct 16, 2007	no	ELK GROVE, CA\|SACRAMENTO, CA\|SACRAMENTO, CA\|ELK GROVE, CA\|ELK GROVE, CA\|ELK GROVE, CA\|ELK GROVE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 12, 2002	Mar 5, 2003	no	SACRAMENTO, 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
ALIGHT FINANCIAL ADVISORS, LLC	ASCENSUS INVESTMENT ADVISORS, LLC	May 10, 2019	Oct 8, 2019	151	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	ALIGHT FINANCIAL ADVISORS, LLC	Dec 24, 2014	Mar 17, 2015	83	Firm change	Other
TD AMERITRADE, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Nov 19, 2012	Mar 5, 2013	106	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Nov 19, 2012	Apr 25, 2012	-208	Channel change	Other
U.S. BANCORP INVESTMENTS, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Apr 13, 2012	Apr 25, 2012	12	Firm change	Other
WAMU INVESTMENTS, INC.	U.S. BANCORP INVESTMENTS, INC.	Oct 16, 2007	Dec 10, 2010	1,151	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WAMU INVESTMENTS, INC.	Mar 5, 2003	Jan 15, 2004	316	Firm change	Other

Relationships

Registered with (8)

→ ASCENSUS INVESTMENT ADVISORS, LLCRegistered adviserregistration: current employment
Oct 8, 2019 to presentfactForm ADV
→ ALIGHT FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 17, 2015 to May 10, 2019factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 5, 2013 to Dec 24, 2014factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 25, 2012 to Nov 19, 2012factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 25, 2012 to Nov 19, 2012factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 10, 2010 to Apr 13, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Jan 15, 2004 to Oct 16, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 12, 2002 to Mar 5, 2003factForm ADV

Dated events

No dated event names this entity yet.