DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
David Beaton
Feed of 09/15/2026
Also filed as David Andrew Beaton
At current firm
3 y
since May 31, 2023
In the industry
38 y
since Dec 14, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Fifth Third Securities, Inc. BD affiliated currentsince May 31, 2023 · Sterling Heights, Mi
- Oppenheimer & Co. Inc. BD affiliatedMay 23, 2017 to May 26, 2023 · Birmingham, Mi
- Ameriprise Financial Services, LLC national BDOct 5, 2009 to May 23, 2017 · Bloomfield Hills, Mi
- Ameriprise Advisor Services, Inc. unclassifiedAug 17, 2007 to Oct 5, 2009 · Troy, Mi
Moves
a registration end followed by a registration begin elsewhere
- Oppenheimer & Co. Inc. to Fifth Third Securities, Inc.left May 26, 2023, registered May 31, 2023 (5 days) · Affiliated broker-dealer or bank to another
- Ameriprise Financial Services, LLC to Oppenheimer & Co. Inc.left May 23, 2017, registered May 23, 2017 (0 days) · Other
- Ameriprise Advisor Services, Inc. to Ameriprise Financial Services, LLCleft Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
Signals
- David Beaton left Oppenheimer & Co. Inc. for Fifth Third Securities, Inc. (registered 2023-05-31)May 26, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address