DFX Intelligence

Data Factory

RIA / WealthAdvisor12 years in industry

HARVEY ALAN SLAUGHTER

Advisor at WINTHROP WEALTH

BOSTON, MA

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:d3f63da6-b0cb-7a5c-d172-70015c156916

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 29, 2014 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: WINTHROP WEALTH
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: Aug 29, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Aug 29, 2014
First registration: Aug 29, 2014
Dual registered: no
Other names: H. Alan Slaughter|Alan Slaughter
IAPD individual key: 6338982

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
WINTHROP WEALTH	Independent wealth	Oct 4, 2022	n/a	yes	BOSTON, MA	Current employment
SCHECHTER INVESTMENT ADVISORS, LLC	Former SEC adviser	Nov 23, 2020	Sep 15, 2022	no	Brookline, MA	Previous registration
VIA GLOBAL ADVISORS LLC	Former SEC adviser	Oct 18, 2016	Nov 1, 2020	no	BROOKLINE, MA	Previous registration
LAKE STREET ADVISORS, LLC	Former SEC adviser	Aug 29, 2014	Feb 5, 2015	no	PORTSMOUTH, NH	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
SCHECHTER INVESTMENT ADVISORS, LLC	WINTHROP WEALTH	Sep 15, 2022	Oct 4, 2022	19	Firm change	RIA to RIA
VIA GLOBAL ADVISORS LLC	SCHECHTER INVESTMENT ADVISORS, LLC	Nov 1, 2020	Nov 23, 2020	22	Firm change	RIA to RIA
LAKE STREET ADVISORS, LLC	VIA GLOBAL ADVISORS LLC	Feb 5, 2015	Oct 18, 2016	621	Firm change after gap	Other

Relationships

Registered with (4)

→ WINTHROP WEALTHRegistered adviserregistration: current employment
Oct 4, 2022 to presentfactForm ADV
→ SCHECHTER INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 23, 2020 to Sep 15, 2022factForm ADV
→ VIA GLOBAL ADVISORS LLCRegistered adviserregistration: previous registration
Oct 18, 2016 to Nov 1, 2020factForm ADV
→ LAKE STREET ADVISORS, LLCRegistered adviserregistration: previous registration
Aug 29, 2014 to Feb 5, 2015factForm ADV

Dated events

Occurred
Sep 15, 2022
Advisor changed firm
Harvey Alan Slaughter left Schechter Investment Advisors, Llc for Winthrop Wealth (registered 2022-10-04)
Form ADVobserved 6 days ago