DFX Intelligence

Data Factory

RIA / WealthAdvisor46 years in industry

ROGER ASHTON CARTER

Advisor at SEPIO CAPITAL, LP

SALT LAKE CITY, UT

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:cd41cc24-7244-5f74-db36-056e0b983986

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Apr 26, 2001 to Sep 14, 2026

Across DFX

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

Private Equityidentity

Roger Ashton Carter

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: SEPIO CAPITAL, LP
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: Dec 13, 1979earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Dec 13, 1979
First registration: Apr 26, 2001
Dual registered: no
IAPD individual key: 874053

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
SEPIO CAPITAL, LP	Independent wealth	May 15, 2017	n/a	yes	SALT LAKE CITY, UT	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 23, 2008	May 15, 2017	no	SAN FRANCISCO, CA\|SALT LAKE CITY, UT\|SAN FRANCISCO, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 26, 2001	Apr 25, 2008	no	SAN FRANCISCO, CA\|SAN FRANCISCO, CA	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	SEPIO CAPITAL, LP	May 15, 2017	May 15, 2017	0	Firm change	Wirehouse to new firm
MORGAN STANLEY & CO. LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 25, 2008	Apr 23, 2008	-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
7691:285645:CA:2017-05-15	May 15, 2017	May 15, 2017	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (3)

→ SEPIO CAPITAL, LPRegistered adviserregistration: current employment
May 15, 2017 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 23, 2008 to May 15, 2017factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 26, 2001 to Apr 25, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd41cc24-7244-5f74-db36-056e0b983986
First observed: Apr 26, 2001
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.

ROGER ASHTON CARTER

Advisor at SEPIO CAPITAL, LP

SALT LAKE CITY, UT

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:cd41cc24-7244-5f74-db36-056e0b983986

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:13 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

SEPIO CAPITAL, LP

Independent wealth

May 15, 2017

n/a

yes

SALT LAKE CITY, UT

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Apr 23, 2008

May 15, 2017

SAN FRANCISCO, CA|SALT LAKE CITY, UT|SAN FRANCISCO, CA

Previous registration

MORGAN STANLEY & CO. LLC

n/a

Apr 26, 2001

Apr 25, 2008

SAN FRANCISCO, CA|SAN FRANCISCO, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SEPIO CAPITAL, LP

May 15, 2017

Firm change

Wirehouse to new firm

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 25, 2008

Apr 23, 2008

-2

Firm change

Other

Team

Left

Joined

From

Kind

7691:285645:CA:2017-05-15

May 15, 2017

SAN FRANCISCO, CA

Firm change