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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

BRADLEY ALAN SLATER

Advisor at ARAX ADVISORY PARTNERS

NEW YORK, NY | Austin, TX

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Search this name across graphsid dfx:ria:ce43a59f-83f7-a360-bb9e-c11b64985362

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 20, 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: ARAX ADVISORY PARTNERS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 26, 2013
First registration: Aug 20, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 5549046

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
ARAX ADVISORY PARTNERS	Bd affiliated wealth	Jul 15, 2026	n/a	yes	Austin, TX\|NEW YORK, NY	Current employment
U.S. CAPITAL WEALTH ADVISORS, LLC	Bd affiliated wealth	Jun 22, 2023	Jul 21, 2026	no	HOUSTON, TX	Previous registration
LION STREET ADVISORS, LLC	Former SEC adviser	Jul 6, 2015	Mar 9, 2022	no	AUSTIN, TX	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Jan 2, 2015	Jul 9, 2015	no	AUSTIN, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 20, 2008	Sep 26, 2008	no	AUSTIN, TX	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
U.S. CAPITAL WEALTH ADVISORS, LLC	ARAX ADVISORY PARTNERS	Jul 21, 2026	Jul 15, 2026	-6	Bulk transfer	Ibd to ibd
LION STREET ADVISORS, LLC	U.S. CAPITAL WEALTH ADVISORS, LLC	Mar 9, 2022	Jun 22, 2023	470	Firm change after gap	Ibd to ibd
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	LION STREET ADVISORS, LLC	Jul 9, 2015	Jul 6, 2015	-3	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Sep 26, 2008	Jan 2, 2015	2,289	Firm change after gap	Other

Relationships

Registered with (5)

→ ARAX ADVISORY PARTNERSRegistered adviserregistration: current employment
Jul 15, 2026 to presentfactForm ADV
→ U.S. CAPITAL WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 22, 2023 to Jul 21, 2026factForm ADV
→ LION STREET ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 6, 2015 to Mar 9, 2022factForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Jan 2, 2015 to Jul 9, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 20, 2008 to Sep 26, 2008factForm ADV

Dated events

Occurred
Mar 9, 2022
Advisor changed firm
Bradley Alan Slater left Lion Street Advisors, Llc for U.S. Capital Wealth Advisors, Llc (registered 2023-06-22)
Form ADVobserved 4 days ago