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RIA / WealthAdvisorCertified Financial Planner10 years in industry

STRATTON HARRISON

Advisor at XYPN SAPPHIRE

Chicago, IL | BOZEMAN, MT

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Search this name across graphsid dfx:ria:e64dc5a5-7d7f-262c-8616-2c3f96763e7e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 15, 2020 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: XYPN SAPPHIRE
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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 15, 2020
First registration: Dec 15, 2020
Dual registered: no
IAPD individual key: 6558141

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
XYPN SAPPHIRE	Independent wealth	Feb 14, 2025	n/a	yes	Chicago, IL\|BOZEMAN, MT	Current employment
ALLWORTH FINANCIAL, L.P.	Bd affiliated wealth	Jul 22, 2024	Feb 18, 2025	no	GLENVIEW, IL\|FOLSOM, CA	Previous registration
ROBERT W. BAIRD & CO. INCORPORATED	Mixed wealth	May 10, 2021	Jul 29, 2024	no	CHICAGO, IL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 15, 2020	May 11, 2021	no	CHICAGO, IL	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
ALLWORTH FINANCIAL, L.P.	XYPN SAPPHIRE	Feb 18, 2025	Feb 14, 2025	-4	Firm change	Other
ROBERT W. BAIRD & CO. INCORPORATED	ALLWORTH FINANCIAL, L.P.	Jul 29, 2024	Jul 22, 2024	-7	Firm change	RIA to ibd
RBC CAPITAL MARKETS, LLC	ROBERT W. BAIRD & CO. INCORPORATED	May 11, 2021	May 10, 2021	-1	Firm change	Ibd to RIA

Relationships

Registered with (4)

→ XYPN SAPPHIRERegistered adviserregistration: current employment
Feb 14, 2025 to presentfactForm ADV
→ ALLWORTH FINANCIAL, L.P.Registered adviserregistration: previous registration
Jul 22, 2024 to Feb 18, 2025factForm ADV
→ ROBERT W. BAIRD & CO. INCORPORATEDRegistered adviserregistration: previous registration
May 10, 2021 to Jul 29, 2024factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Dec 15, 2020 to May 11, 2021factForm ADV

Dated events

Occurred
Feb 18, 2025
Advisor changed firm
Stratton Harrison left Allworth Financial, L.P. for Xypn Sapphire (registered 2025-02-14)
Form ADVobserved 5 days ago
Occurred
Jul 29, 2024
Advisor changed firm
Stratton Harrison left Robert W. Baird & Co. Incorporated for Allworth Financial, L.P. (registered 2024-07-22)
Form ADVobserved 5 days ago