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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

DAVID SCOTT AHERN

Advisor at ADVISORS ASSET MANAGEMENT, INC.

BOLINGBROOK, IL | NEW YORK, NY

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:abf08f74-4899-3fb8-1583-e413b1fae868

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 26, 2009 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: ADVISORS ASSET MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 24, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 24, 2008
First registration: Jan 26, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 2792588

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
ADVISORS ASSET MANAGEMENT, INC.	Mixed wealth	Dec 2, 2019	n/a	yes	NEW YORK, NY\|BOLINGBROOK, IL	Current employment
INVESCO ADVISERS, INC.	Asset manager	Apr 25, 2018	May 30, 2019	no	DOWNERS GROVE, IL	Previous registration
GUGGENHEIM INVESTMENTS	Asset manager	Oct 26, 2010	Apr 20, 2018	no	NEW YORK, NY	Previous registration
RYDEX ADVISORY SERVICES, LLC	n/a	Jan 26, 2009	Oct 28, 2010	no	ROCKVILLE, MD	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
INVESCO ADVISERS, INC.	ADVISORS ASSET MANAGEMENT, INC.	May 30, 2019	Dec 2, 2019	186	Firm change	Other
GUGGENHEIM INVESTMENTS	INVESCO ADVISERS, INC.	Apr 20, 2018	Apr 25, 2018	5	Firm change	Other
RYDEX ADVISORY SERVICES, LLC	GUGGENHEIM INVESTMENTS	Oct 28, 2010	Oct 26, 2010	-2	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
105360:46727:IL:2019-05-30	May 30, 2019	Dec 2, 2019	DOWNERS GROVE, IL	Firm change

Relationships

Registered with (4)

→ ADVISORS ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Dec 2, 2019 to presentfactForm ADV
→ INVESCO ADVISERS, INC.Registered adviserregistration: previous registration
Apr 25, 2018 to May 30, 2019factForm ADV
→ GUGGENHEIM INVESTMENTSRegistered adviserregistration: previous registration
Oct 26, 2010 to Apr 20, 2018factForm ADV
→ RYDEX ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jan 26, 2009 to Oct 28, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abf08f74-4899-3fb8-1583-e413b1fae868
First observed: Jan 26, 2009
Last observed: Sep 14, 2026 5 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 SCOTT AHERN

Advisor at ADVISORS ASSET MANAGEMENT, INC.

BOLINGBROOK, IL | NEW YORK, NY

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:abf08f74-4899-3fb8-1583-e413b1fae868

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:52 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

ADVISORS ASSET MANAGEMENT, INC.

Mixed wealth

Dec 2, 2019

n/a

yes

NEW YORK, NY|BOLINGBROOK, IL

Current employment

INVESCO ADVISERS, INC.

Asset manager

Apr 25, 2018

May 30, 2019

DOWNERS GROVE, IL

Previous registration

GUGGENHEIM INVESTMENTS

Asset manager

Oct 26, 2010

Apr 20, 2018

NEW YORK, NY

Previous registration

RYDEX ADVISORY SERVICES, LLC

n/a

Jan 26, 2009

Oct 28, 2010

ROCKVILLE, MD

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

INVESCO ADVISERS, INC.

ADVISORS ASSET MANAGEMENT, INC.

May 30, 2019

Dec 2, 2019

186

Firm change

Other

GUGGENHEIM INVESTMENTS

INVESCO ADVISERS, INC.

Apr 20, 2018

Apr 25, 2018

Firm change

Other

RYDEX ADVISORY SERVICES, LLC

GUGGENHEIM INVESTMENTS

Oct 28, 2010

Oct 26, 2010

-2

Firm change

Other

Team

Left

Joined

From

Kind

105360:46727:IL:2019-05-30

May 30, 2019

Dec 2, 2019

DOWNERS GROVE, IL

Firm change