DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Dave Andrew Ethington

Advisor at CHARLES SCHWAB & CO., INC.

Tulsa, OK | Chandler, AZ

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:e8e2f030-1a0e-cba0-8ada-d57af69cbbdb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 29, 2005 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: CHARLES SCHWAB & CO., INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 28, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Aug 28, 1996
First registration: Jul 29, 2005
Dual registered: yes, broker-dealer
Other names: David Andrew Ethington
IAPD individual key: 2790476

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
CHARLES SCHWAB & CO., INC.	National bd RIA	May 25, 2023	n/a	yes	Chandler, AZ\|Tulsa, OK	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 4, 2021	Sep 7, 2023	no	Chandler, AZ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 4, 2021	Oct 14, 2022	no	Chandler, AZ	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 2, 2008	Sep 30, 2021	no	Cottonwood Heights, UT\|Phoenix, AZ\|Chandler, AZ	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jul 29, 2005	Aug 2, 2006	no	SALT LAKE CITY, UT	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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	May 25, 2023	-105	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Oct 4, 2021	-375	Bulk transfer	Other
CHARLES SCHWAB & CO., INC.	TD AMERITRADE, INC.	Sep 30, 2021	Oct 4, 2021	4	Channel change	Other
STRATEGIC ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Aug 2, 2006	Apr 2, 2008	609	Firm change after gap	Ibd to ibd

Relationships

Registered with (4)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 2, 2008 to Sep 30, 2021factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 4, 2021 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 4, 2021 to Oct 14, 2022factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jul 29, 2005 to Aug 2, 2006factForm ADV

Dated events

No dated event names this entity yet.