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

Aaron Andrew Berman

Advisor at IP FINANCIAL ADVISORY SERVICES LLC

Miami, FL | CHARLOTTE, NC

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Search this name across graphsid dfx:ria:ca449b1b-c5d5-f5fb-e438-7bea438124a4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 25, 2008 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: IP FINANCIAL ADVISORY SERVICES LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 17, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 17, 2001
First registration: Aug 25, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 3086639

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
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Aug 24, 2020	n/a	yes	Miami, FL\|CHARLOTTE, NC	Current employment
SAXONY CAPITAL MANAGEMENT, LLC	Independent wealth	Nov 1, 2017	Jul 29, 2020	no	Miami, FL\|SAINT LOUIS, MO	Previous registration
PRESTON WEALTH ADVISORS, LLC.	Independent wealth	Mar 6, 2014	Sep 15, 2017	no	RESTON, VA	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Sep 19, 2012	Mar 6, 2013	no	Providence, RI\|BOSTON, MA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 10, 2012	Sep 19, 2012	no	PROVIDENCE, RI	Previous registration
EATON VANCE MANAGEMENT	Asset manager	Aug 25, 2008	Jun 14, 2012	no	BOSTON, MA	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
SAXONY CAPITAL MANAGEMENT, LLC	IP FINANCIAL ADVISORY SERVICES LLC	Jul 29, 2020	Aug 24, 2020	26	Firm change	RIA to RIA
PRESTON WEALTH ADVISORS, LLC.	SAXONY CAPITAL MANAGEMENT, LLC	Sep 15, 2017	Nov 1, 2017	47	Firm change	Other
SANTANDER SECURITIES	PRESTON WEALTH ADVISORS, LLC.	Mar 6, 2013	Mar 6, 2014	365	Firm change	Other
LPL FINANCIAL LLC	SANTANDER SECURITIES	Sep 19, 2012	Sep 19, 2012	0	Bulk transfer	Other
EATON VANCE MANAGEMENT	LPL FINANCIAL LLC	Jun 14, 2012	Sep 10, 2012	88	Firm change	Other

Relationships

Registered with (6)

→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: current employment
Aug 24, 2020 to presentfactForm ADV
→ SAXONY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 1, 2017 to Jul 29, 2020factForm ADV
→ PRESTON WEALTH ADVISORS, LLC.Registered adviserregistration: previous registration
Mar 6, 2014 to Sep 15, 2017factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Sep 19, 2012 to Mar 6, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 10, 2012 to Sep 19, 2012factForm ADV
→ EATON VANCE MANAGEMENTRegistered adviserregistration: previous registration
Aug 25, 2008 to Jun 14, 2012factForm ADV

Dated events

No dated event names this entity yet.