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
Eric Eugene Lawton
Feed of 09/14/2026
Also filed as E Lawton Eric
At current firm
8 y
since Jun 7, 2018
In the industry
28 y
since Nov 12, 1997 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 7, 2018 · Guilford, Ct
- Westport Capital Markets, LLC formerNov 6, 2013 to Jun 26, 2018 · Westport, Ct
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 12, 2008 to Nov 14, 2013 · Fairfield, Ct
- Wells Fargo Advisors wirehouseNov 11, 2005 to Dec 15, 2008 · Westport, Ct
- Legg Mason Wood Walker, Incorporated unclassifiedJul 23, 2003 to Nov 17, 2005 · New York, Ny
- Wells Fargo Advisors wirehouseJul 1, 2003 to Jul 23, 2003 · Westport, Ct
- Prudential Equity Group, LLC unclassifiedMar 3, 2000 to Jul 1, 2003 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- Westport Capital Markets, LLC to LPL Financial LLCleft Jun 26, 2018, registered Jun 7, 2018 (-19 days) · Other · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Westport Capital Markets, LLCleft Nov 14, 2013, registered Nov 6, 2013 (-8 days) · Other
- Wells Fargo Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Dec 15, 2008, registered Dec 12, 2008 (-3 days) · Wirehouse to wirehouse
- Legg Mason Wood Walker, Incorporated to Wells Fargo Advisorsleft Nov 17, 2005, registered Nov 11, 2005 (-6 days) · Other
- Wells Fargo Advisors to Legg Mason Wood Walker, Incorporatedleft Jul 23, 2003, registered Jul 23, 2003 (0 days) · Other
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address