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

Louis C Benton

LPL Enterprise, LLCBD affiliatedWilliamsville, Nydual registrantIAPD 6070622

Feed of 09/14/2026

Also filed as Louis Clarence Benton

At current firm

0 y

since Mar 4, 2026

In the industry

14 y

since Sep 7, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since Mar 4, 2026 · Williamsville, Ny
Principal Securities, Inc. BD affiliated
Apr 4, 2024 to Jan 9, 2026 · Strykersville, Ny
Citizens Securities, Inc. BD affiliated
Jul 18, 2022 to Mar 20, 2024 · Amherst, Ny
Key Investment Services LLC BD affiliated
Mar 26, 2021 to Jul 1, 2022 · Buffalo, Ny
Equitable Advisors, LLC national BD
Mar 28, 2013 to Dec 4, 2014 · Williamsville, Ny
Wells Fargo Advisors wirehouse
Sep 10, 2012 to Mar 5, 2013 · Williamsville, Ny

Moves

a registration end followed by a registration begin elsewhere

Principal Securities, Inc. to LPL Enterprise, LLC
left Jan 9, 2026, registered Mar 4, 2026 (54 days) · Affiliated broker-dealer or bank to another
Citizens Securities, Inc. to Principal Securities, Inc.
left Mar 20, 2024, registered Apr 4, 2024 (15 days) · Affiliated broker-dealer or bank to another
Key Investment Services LLC to Citizens Securities, Inc.
left Jul 1, 2022, registered Jul 18, 2022 (17 days) · Affiliated broker-dealer or bank to another
Equitable Advisors, LLC to Key Investment Services LLC
left Dec 4, 2014, registered Mar 26, 2021 (2304 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Equitable Advisors, LLC
left Mar 5, 2013, registered Mar 28, 2013 (23 days) · Wirehouse to affiliated broker-dealer or bank

Signals

Louis C Benton left Principal Securities, Inc. for Lpl Enterprise, Llc (registered 2026-03-04)
Jan 9, 2026 · Advisor changed firm · fact
Louis C Benton left Citizens Securities, Inc. for Principal Securities, Inc. (registered 2024-04-04)
Mar 20, 2024 · Advisor changed firm · fact
Louis C Benton left Key Investment Services Llc for Citizens Securities, Inc. (registered 2022-07-18)
Jul 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address