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RIA / WealthAdvisor21 years in industry

FAISAL DAVID KHAN

Advisor at SOUTHWESTERN MONEY MANAGEMENT LLC

San Antonio, TX

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Search this name across graphsid dfx:ria:d4ae8342-3dce-696e-a8d2-489fe61aeee8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 19, 2005 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: SOUTHWESTERN MONEY MANAGEMENT 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: Sep 19, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 23, 2005
First registration: Sep 19, 2005
Dual registered: no
Other names: FAISAL KHAN|FAISAL D KHAN
IAPD individual key: 2826460

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
SOUTHWESTERN MONEY MANAGEMENT LLC	Independent wealth	Dec 10, 2019	n/a	yes	San Antonio, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Feb 11, 2011	no	FRIENDSWOOD, TX\|Houston, TX	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Apr 28, 2009	Oct 5, 2009	no	FRIENDSWOOD, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 19, 2005	May 13, 2009	no	HOUSTON, TX\|HOUSTON, 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
AMERIPRISE FINANCIAL SERVICES, LLC	SOUTHWESTERN MONEY MANAGEMENT LLC	Feb 11, 2011	Dec 10, 2019	3,224	Firm change after gap	Ibd to new firm
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	AMERIPRISE ADVISOR SERVICES, INC.	May 13, 2009	Apr 28, 2009	-15	Firm change	Other

Relationships

Registered with (4)

→ SOUTHWESTERN MONEY MANAGEMENT LLCRegistered adviserregistration: current employment
Dec 10, 2019 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Feb 11, 2011factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Apr 28, 2009 to Oct 5, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 19, 2005 to May 13, 2009factForm ADV

Dated events

No dated event names this entity yet.