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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

KAREN ELIZABETH FRANKFORT

Advisor at ARAX ADVISORY PARTNERS

NEW YORK, NY | Houston, TX

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Search this name across graphsid dfx:ria:e082a59f-1b54-1048-449e-b4d2d7068e2c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 2, 2007 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: 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: Nov 19, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Nov 19, 2003
First registration: Jul 2, 2007
Dual registered: yes, broker-dealer
Other names: KAREN ELIZABETH GLUCH|KAREN ELIZABETH WILLIAMSON|KAREN ELIZABETH STILES
IAPD individual key: 3136185

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 17, 2026	n/a	yes	NEW YORK, NY\|Houston, TX	Current employment
U.S. CAPITAL WEALTH ADVISORS, LLC	Bd affiliated wealth	Jun 30, 2021	Jul 21, 2026	no	AUSTIN, TX	Previous registration
USCA RIA LLC	Former SEC adviser	Jun 13, 2014	Jun 30, 2021	no	HOUSTON, TX	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 2, 2007	Jun 5, 2014	no	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
U.S. CAPITAL WEALTH ADVISORS, LLC	ARAX ADVISORY PARTNERS	Jul 21, 2026	Jul 17, 2026	-4	Bulk transfer	Ibd to ibd
USCA RIA LLC	U.S. CAPITAL WEALTH ADVISORS, LLC	Jun 30, 2021	Jun 30, 2021	0	Bulk transfer	Ibd to RIA
UBS FINANCIAL SERVICES INC.	USCA RIA LLC	Jun 5, 2014	Jun 13, 2014	8	Firm change	Other

Relationships

Registered with (4)

→ ARAX ADVISORY PARTNERSRegistered adviserregistration: current employment
Jul 17, 2026 to presentfactForm ADV
→ U.S. CAPITAL WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 30, 2021 to Jul 21, 2026factForm ADV
→ USCA RIA LLCRegistered adviserregistration: previous registration
Jun 13, 2014 to Jun 30, 2021factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 2, 2007 to Jun 5, 2014factForm ADV

Dated events

No dated event names this entity yet.