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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

DENIS RAFAEL TOTH

Advisor at COMMONWEALTH FINANCIAL NETWORK

AUSTIN, TX

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Search this name across graphsid dfx:ria:c11cf147-dc83-940f-0f95-a02d6065d774

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Feb 1, 2017 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: COMMONWEALTH FINANCIAL NETWORK
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 6, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Feb 6, 2001
First registration: Feb 1, 2017
Dual registered: yes, broker-dealer
IAPD individual key: 4155907

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
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Sep 19, 2024	n/a	yes	AUSTIN, TX	Current employment
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.	Independent wealth	Jun 2, 2022	Apr 15, 2024	no	FAIRFIELD, CT\|FAIRFIELD, CT\|Austin,, TX	Previous registration
NORTHERN TRUST INVESTMENTS, INCORPORATED	Asset manager	Oct 10, 2019	Jun 2, 2022	no	CHICAGO, IL\|Chicago, IL\|Austin, TX\|Austin, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Feb 1, 2017	Oct 8, 2018	no	CHICAGO, IL\|Chicago, IL\|Chicago, IL	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
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.	COMMONWEALTH FINANCIAL NETWORK	Apr 15, 2024	Sep 19, 2024	157	Firm change	RIA to ibd
NORTHERN TRUST INVESTMENTS, INCORPORATED	HERBERT J. SIMS CAPITAL MANAGEMENT, INC.	Jun 2, 2022	Jun 2, 2022	0	Firm change	Other
J.P. MORGAN SECURITIES LLC	NORTHERN TRUST INVESTMENTS, INCORPORATED	Oct 8, 2018	Oct 10, 2019	367	Firm change	Other

Relationships

Registered with (4)

→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: current employment
Sep 19, 2024 to presentfactForm ADV
→ HERBERT J. SIMS CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Jun 2, 2022 to Apr 15, 2024factForm ADV
→ NORTHERN TRUST INVESTMENTS, INCORPORATEDRegistered adviserregistration: previous registration
Oct 10, 2019 to Jun 2, 2022factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Feb 1, 2017 to Oct 8, 2018factForm ADV

Dated events

Occurred
Apr 15, 2024
Advisor changed firm
Denis Rafael Toth left Herbert J. Sims Capital Management, Inc. for Commonwealth Financial Network (registered 2024-09-19)
Form ADVobserved 6 days ago
Occurred
Jun 2, 2022
Advisor changed firm
Denis Rafael Toth left Northern Trust Investments, Incorporated for Herbert J. Sims Capital Management, Inc. (registered 2022-06-02)
Form ADVobserved 6 days ago