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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

David Walter Miller

Advisor at CHARLES SCHWAB & CO., INC.

Encino, CA | Los Angeles, CA

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Search this name across graphsid dfx:ria:f2c39b41-2ea1-070e-80fc-ef415e212cb1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 25, 2019 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: 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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jun 16, 2018
First registration: Mar 25, 2019
Dual registered: yes, broker-dealer
Other names: DAVID WALTER MILLER|David Miller
IAPD individual key: 4098025

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	Jan 2, 2026	n/a	yes	Los Angeles, CA\|Encino, CA	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	Dec 19, 2025	no	LOS ANGELES, CA\|BOSTON, MA\|LOS ANGELES, CA	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Dec 5, 2024	Mar 31, 2025	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
SCHOLTZ & COMPANY, LLC	Independent wealth	Feb 7, 2021	Nov 13, 2023	no	LOS ANGELES, CA	Previous registration
IMPERIAL CAPITAL ASSET MANAGEMENT LLC	Former SEC adviser	Mar 25, 2019	Aug 11, 2020	no	PALM BEACH GARDENS, FL	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
STRATEGIC ADVISERS LLC	CHARLES SCHWAB & CO., INC.	Dec 19, 2025	Jan 2, 2026	14	Firm change	Ibd to ibd
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
SCHOLTZ & COMPANY, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Nov 13, 2023	Dec 5, 2024	388	Firm change	RIA to ibd
IMPERIAL CAPITAL ASSET MANAGEMENT LLC	SCHOLTZ & COMPANY, LLC	Aug 11, 2020	Feb 7, 2021	180	Firm change	Other

Relationships

Registered with (5)

→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Mar 31, 2025 to Dec 19, 2025factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Dec 5, 2024 to Mar 31, 2025factForm ADV
→ SCHOLTZ & COMPANY, LLCRegistered adviserregistration: previous registration
Feb 7, 2021 to Nov 13, 2023factForm ADV
→ IMPERIAL CAPITAL ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 25, 2019 to Aug 11, 2020factForm ADV

Dated events

Occurred
Dec 19, 2025
Advisor changed firm
David Walter Miller left Strategic Advisers Llc for Charles Schwab & Co., Inc. (registered 2026-01-02)
Form ADVobserved 5 days ago
Occurred
Nov 13, 2023
Advisor changed firm
David Walter Miller left Scholtz & Company, Llc for Fidelity Personal And Workplace Advisors (registered 2024-12-05)
Form ADVobserved 5 days ago