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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

SCOTT WALTER FORSYTH

Advisor at UBS FINANCIAL SERVICES INC.

DENVER, CO

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 26, 2000 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: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 21, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Jun 21, 1996
First registration: Jan 26, 2000
Dual registered: yes, broker-dealer
Other names: SCOTT WALTER PAUL FORSYTH|SCOTT WALTER FORSYTH
IAPD individual key: 2750468

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
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 10, 2023	n/a	yes	DENVER, CO	Current employment
G5 FINANCIAL GROUP RIA, LLC	Former SEC adviser	May 19, 2011	Nov 20, 2017	no	GREENWOOD VILLAGE, CO\|DENVER, CO	Previous registration
FINANCIAL DESIGN & MANAGEMENT, INC.	Former SEC adviser	Apr 17, 2008	Jul 28, 2011	no	GREENWOOD VILLAGE, CO	Previous registration
GENEOS WEALTH MANAGEMENT, INC.	Bd affiliated wealth	Apr 1, 2008	Nov 14, 2023	no	GREENWOOD VILLAGE, CO\|COLORADO SPRINGS, CO\|Denver, CO\|Lone Tree, CO\|ARVADA, CO	Previous registration
ADRIAN & ASSOCIATES INC	n/a	Oct 10, 2002	Sep 6, 2011	no	GREENWOOD VILLAGE, CO	Previous registration
PIPER SANDLER & CO.	Institutional manager	Jan 26, 2000	Jul 12, 2002	no	DENVER, CO	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
GENEOS WEALTH MANAGEMENT, INC.	FINANCIAL DESIGN & MANAGEMENT, INC.	Nov 14, 2023	Apr 17, 2008	-5,689	Firm change after gap	Other
G5 FINANCIAL GROUP RIA, LLC	UBS FINANCIAL SERVICES INC.	Nov 20, 2017	Nov 10, 2023	2,181	Firm change after gap	Other
ADRIAN & ASSOCIATES INC	GENEOS WEALTH MANAGEMENT, INC.	Sep 6, 2011	Apr 1, 2008	-1,253	Firm change after gap	Other
FINANCIAL DESIGN & MANAGEMENT, INC.	G5 FINANCIAL GROUP RIA, LLC	Jul 28, 2011	May 19, 2011	-70	Firm change after gap	Other
PIPER SANDLER & CO.	ADRIAN & ASSOCIATES INC	Jul 12, 2002	Oct 10, 2002	90	Firm change	Other

Relationships

Registered with (6)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Nov 10, 2023 to presentfactForm ADV
→ GENEOS WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 1, 2008 to Nov 14, 2023factForm ADV
→ G5 FINANCIAL GROUP RIA, LLCRegistered adviserregistration: previous registration
May 19, 2011 to Nov 20, 2017factForm ADV
→ ADRIAN & ASSOCIATES INCRegistered adviserregistration: previous registration
Oct 10, 2002 to Sep 6, 2011factForm ADV
→ FINANCIAL DESIGN & MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 17, 2008 to Jul 28, 2011factForm ADV
→ PIPER SANDLER & CO.Registered adviserregistration: previous registration
Jan 26, 2000 to Jul 12, 2002factForm ADV

Dated events

Occurred
Nov 14, 2023
Advisor changed firm
Scott Walter Forsyth left Geneos Wealth Management, Inc. for Financial Design & Management, Inc. (registered 2008-04-17)
Form ADVobserved 6 days ago