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 L Ballantyne
Feed of 09/14/2026
Also filed as David Lape Ballantyne
At current firm
0 y
since Jan 2, 2026
In the industry
36 y
since Aug 2, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 2, 2026 · Lansing, Mi
- Kovack Advisors, Inc. BD affiliatedAug 4, 2020 to Jan 24, 2025 · Shelby Township, Mi
- Cuso Financial Services, L.P. formerOct 28, 2013 to Jun 26, 2020 · Auburn Hills, Mi
- Key Investment Services LLC BD affiliatedMar 14, 2008 to Nov 7, 2013 · Elkhart, In
- Huntington Financial Advisors BD affiliatedOct 10, 2006 to Jan 23, 2008 · West Bloomfield, Mi
Moves
a registration end followed by a registration begin elsewhere
- Kovack Advisors, Inc. to LPL Financial LLCleft Jan 24, 2025, registered Jan 2, 2026 (343 days) · Affiliated broker-dealer or bank to another
- Cuso Financial Services, L.P. to Kovack Advisors, Inc.left Jun 26, 2020, registered Aug 4, 2020 (39 days) · Affiliated broker-dealer or bank to another
- Key Investment Services LLC to Cuso Financial Services, L.P.left Nov 7, 2013, registered Oct 28, 2013 (-10 days) · Other
- Huntington Financial Advisors to Key Investment Services LLCleft Jan 23, 2008, registered Mar 14, 2008 (51 days) · Other
Signals
- David L Ballantyne left Kovack Advisors, Inc. for Lpl Financial Llc (registered 2026-01-02)Jan 24, 2025 · 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address