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

Garrett Mitchell Alton

Certuity, LLCindependent RIAAtlanta, Ga IA-onlyIAPD 2393364

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as Garrett Mitchell Alton

At current firm

0 y

since Dec 16, 2025

In the industry

32 y

since Sep 29, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Certuity, LLC independent RIA current
since Dec 16, 2025 · Atlanta, Ga
Pennington Partners & Co., LLC independent RIA
Jan 31, 2025 to Oct 20, 2025 · Bethesda, Md
M&T Securities, Inc. unclassified
Apr 23, 2021 to Jun 9, 2021 · Buffalo, Ny
Bny Mellon Securities Corporation other
Aug 10, 2011 to Feb 6, 2012 · Atlanta, Ga
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 25, 2008 to Dec 14, 2009 · Atlanta, Ga
Gfo Advisory Services, LLC asset manager
Mar 27, 2008 to Oct 15, 2008 · Atlanta, Ga
Neuberger Berman Bd LLC no RAUM
Jul 7, 2006 to Apr 9, 2008 · Atlanta, Ga
Sterne Agee Asset Management, Inc. former
Mar 15, 2005 to Jul 27, 2006 · Birmingham, Al
Sterne, Agee & Leach, Inc. unclassified
Oct 14, 2004 to Jul 5, 2006 · Atlanta, Ga
Morgan Stanley Dw Inc. unclassified
Feb 25, 2003 to Oct 26, 2004 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Pennington Partners & Co., LLC to Certuity, LLC
left Oct 20, 2025, registered Dec 16, 2025 (57 days) · RIA to RIA
M&T Securities, Inc. to Pennington Partners & Co., LLC
left Jun 9, 2021, registered Jan 31, 2025 (1332 days) · Other
Bny Mellon Securities Corporation to M&T Securities, Inc.
left Feb 6, 2012, registered Apr 23, 2021 (3364 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Bny Mellon Securities Corporation
left Dec 14, 2009, registered Aug 10, 2011 (604 days) · Other
Gfo Advisory Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 15, 2008, registered Nov 25, 2008 (41 days) · Other
Neuberger Berman Bd LLC to Gfo Advisory Services, LLC
left Apr 9, 2008, registered Mar 27, 2008 (-13 days) · Other
Sterne Agee Asset Management, Inc. to Neuberger Berman Bd LLC
left Jul 27, 2006, registered Jul 7, 2006 (-20 days) · Other
Sterne, Agee & Leach, Inc. to Sterne Agee Asset Management, Inc.
left Jul 5, 2006, registered Mar 15, 2005 (-477 days) · Other
Morgan Stanley Dw Inc. to Sterne, Agee & Leach, Inc.
left Oct 26, 2004, registered Oct 14, 2004 (-12 days) · Other

Signals

Garrett Mitchell Alton left Pennington Partners & Co., Llc for Certuity, Llc (registered 2025-12-16)
Oct 20, 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: Independent wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address