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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

Kevin P Chase

Advisor at SANCTUARY ADVISORS, LLC

WAXHAW, NC

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:a4fe7094-cec7-d77a-f13c-bb1ebd403d6e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 2
Observed: Dec 22, 2011 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Kevin Paul Chase

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Venture Capitalidentity

Kevin Paul Chase

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SANCTUARY ADVISORS, LLC
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: Jun 1, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 9, 1987
First registration: Dec 22, 2011
Dual registered: yes, broker-dealer
Other names: Kevin Paul Chase
IAPD individual key: 1626158

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
SANCTUARY ADVISORS, LLC	Bd affiliated wealth	Nov 17, 2022	n/a	yes	WAXHAW, NC	Current employment
SANCTUARY ADVISORS, LLC	Bd affiliated wealth	Nov 8, 2018	Jun 29, 2021	no	WAXHAW, NC\|MIAMI, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 22, 2011	Aug 15, 2017	no	NEW YORK, NY\|NEW YORK, NY\|INDIANAPOLIS, IN\|LANCASTER, PA\|FORT MITCHELL, KY\|BRIDGEPORT, WV\|DEARBORN, MI\|BOSTON, MA\|BEVERLY, MA\|INDIANAPOLIS, IN\|NEW YORK, NY	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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SANCTUARY ADVISORS, LLC	Aug 15, 2017	Nov 8, 2018	450	Firm change after gap	Wirehouse to ibd

Relationships

Registered with (2)

→ SANCTUARY ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 8, 2018 to Jun 29, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 22, 2011 to Aug 15, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a4fe7094-cec7-d77a-f13c-bb1ebd403d6e
First observed: Dec 22, 2011
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.

Kevin P Chase

Advisor at SANCTUARY ADVISORS, LLC

WAXHAW, NC

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:a4fe7094-cec7-d77a-f13c-bb1ebd403d6e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:35 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SANCTUARY ADVISORS, LLC

Bd affiliated wealth

Nov 17, 2022

n/a

yes

WAXHAW, NC

Current employment

SANCTUARY ADVISORS, LLC

Bd affiliated wealth

Nov 8, 2018

Jun 29, 2021

WAXHAW, NC|MIAMI, FL

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Dec 22, 2011

Aug 15, 2017

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SANCTUARY ADVISORS, LLC

Aug 15, 2017

Nov 8, 2018

450

Firm change after gap

Wirehouse to ibd