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
Robert John Holton
Feed of 09/14/2026
Also filed as Robert Holton
At current firm
3 y
since Aug 17, 2023
In the industry
17 y
since Jul 15, 2009 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Commonwealth Financial Network national BD currentsince Aug 17, 2023 · Waukesha, Wi
- Avantax Advisory Services formerJun 29, 2022 to Sep 5, 2023 · Waukesha, Wi
- LPL Financial LLC BD affiliatedMar 24, 2021 to Jul 5, 2022 · Milwaukee, Wi
- Bmo Harris Financial Advisors, Inc formerJun 5, 2017 to Mar 24, 2021 · Milwaukee, Wi
- Johnson Wealth Inc. mixed wealthMay 12, 2016 to May 10, 2017 · Milwaukee, Wi
- Cleary Gull Inc. formerJun 6, 2014 to Jun 2, 2016 · Milwaukee, Wi
- First Allied Advisory Services, Inc. formerJul 2, 2012 to Jun 9, 2014 · Brookfield, Wi
- First Allied Securities, Inc. formerJul 27, 2009 to Jul 2, 2012 · Brookfield, Wi
Moves
a registration end followed by a registration begin elsewhere
- Avantax Advisory Services to Commonwealth Financial Networkleft Sep 5, 2023, registered Aug 17, 2023 (-19 days) · Affiliated broker-dealer or bank to another · moved with a team
- LPL Financial LLC to Avantax Advisory Servicesleft Jul 5, 2022, registered Jun 29, 2022 (-6 days) · RIA to affiliated broker-dealer or bank
- Bmo Harris Financial Advisors, Inc to LPL Financial LLCleft Mar 24, 2021, registered Mar 24, 2021 (0 days) · corporate re-registration, not a move
- Johnson Wealth Inc. to Bmo Harris Financial Advisors, Incleft May 10, 2017, registered Jun 5, 2017 (26 days) · Other
- Cleary Gull Inc. to Johnson Wealth Inc.left Jun 2, 2016, registered May 12, 2016 (-21 days) · Other · moved with a team
- First Allied Advisory Services, Inc. to Cleary Gull Inc.left Jun 9, 2014, registered Jun 6, 2014 (-3 days) · Other
- First Allied Securities, Inc. to First Allied Advisory Services, Inc.left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
Signals
- Robert John Holton left Avantax Advisory Services for Commonwealth Financial Network (registered 2023-08-17)Sep 5, 2023 · Advisor changed firm · fact
- Robert John Holton left Lpl Financial Llc for Avantax Advisory Services (registered 2022-06-29)Jul 5, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address