DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

DANIEL A BARON

Advisor at SCHWAB WEALTH ADVISORY, INC.

Phoenix, 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:efd703d9-6c9a-1820-29fd-2fa38dfba6f7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 17, 2006 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: SCHWAB WEALTH ADVISORY, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jun 10, 1998
First registration: Mar 17, 2006
Dual registered: yes, broker-dealer
Other names: DANIEL A BARON|DAN BARON|DANIEL BARON|DANIEL ANTHONY BARON
IAPD individual key: 2398932

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
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Jan 5, 2023	n/a	yes	Phoenix, AZ	Current employment
SCHWAB WEALTH ADVISORY, INC.	No RAUM reported	Jul 1, 2014	Sep 6, 2018	no	PHOENIX, AZ	Previous registration
USAA FINANCIAL PLANNING SERVICES	Former SEC adviser	Mar 28, 2007	Mar 10, 2010	no	PHOENIX, AZ	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Dec 19, 2006	Feb 10, 2007	no	GLENDALE, AZ\|CHARLOTTE, NC	Previous registration
VOYA FINANCIAL PARTNERS, LLC	Former SEC adviser	Mar 17, 2006	Nov 7, 2006	no	WINDSOR, CT\|PHOENIX, AZ\|PHOENIX, AZ	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
USAA FINANCIAL PLANNING SERVICES	SCHWAB WEALTH ADVISORY, INC.	Mar 10, 2010	Jul 1, 2014	1,574	Firm change after gap	Other
UVEST FINANCIAL SERVICES GROUP, INC.	USAA FINANCIAL PLANNING SERVICES	Feb 10, 2007	Mar 28, 2007	46	Firm change	Other
VOYA FINANCIAL PARTNERS, LLC	UVEST FINANCIAL SERVICES GROUP, INC.	Nov 7, 2006	Dec 19, 2006	42	Firm change	Other

Relationships

Registered with (4)

→ SCHWAB WEALTH ADVISORY, INC.Registered adviserregistration: previous registration
Jul 1, 2014 to Sep 6, 2018factForm ADV
→ USAA FINANCIAL PLANNING SERVICESRegistered adviserregistration: previous registration
Mar 28, 2007 to Mar 10, 2010factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Dec 19, 2006 to Feb 10, 2007factForm ADV
→ VOYA FINANCIAL PARTNERS, LLCRegistered adviserregistration: previous registration
Mar 17, 2006 to Nov 7, 2006factForm ADV

Dated events

No dated event names this entity yet.