David F. Barton

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CRD#: 1178191

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Floyd Barton, who also goes by Dave Barton, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1983. David had worked at 7 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Barton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 28, 2011 - January 3, 2020

SAVANT WEALTH MANAGEMENT

RIA

CRD#: 107271

ROCKFORD, IL

Past

July 31, 2006 - March 10, 2011

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

January 2, 2004 - December 31, 2004

WATERSTONE FINANCIAL GROUP, INC.

RIA

CRD#: 10078

FREEPORT, IL

Past

December 23, 1998 - December 31, 2003

STERLING PORTFOLIO ALLOCATION SERVICE INC

RIA

CRD#: 110796

FREEPORT, IL

Past

August 13, 1998 - July 31, 2006

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

FREEPORT, IL

Past

October 1, 1995 - October 25, 1996

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

March 8, 1990 - October 1, 1995

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

SEATTLE, WA

Past

May 11, 1987 - June 5, 1989

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

September 23, 1983 - March 30, 1987

RELIASTAR FINANCIAL MARKETING CORP.

CRD#: 4234

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAVANT WEALTH MANAGEMENT

CRD#: 107271 / SEC#: 801-43144

RIA

Registered Investment Advisory firm - (1/22/1993 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/15/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAVANT WEALTH MANAGEMENT

CRD#: 107271 / SEC#: 801-43144

RIA

Registered Investment Advisory firm - (1/22/1993 Approved)

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Contact information

Main Address

190 Buckley Drive, Rockford, IL 61107

Mailing Address

Phone number

(815) 227-0300

Established

Firm type

Fiscal year end

# of Employees

565

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAVANT WEALTH MANAGEMENT ADV PART 2A BROCHURE (10/28/2025)

Regulatory assets under management

Total Number of Accounts	65,929
AUM (Assets Under Management)	$ 37,127,688,152

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/25/2025	Cover Page	Report
10/25/2024	Cover Page	Report
09/21/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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David F. Barton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

WATERSTONE FINANCIAL GROUP, INC.

STERLING PORTFOLIO ALLOCATION SERVICE INC

WATERSTONE FINANCIAL GROUP, INC.

VOYA FINANCIAL ADVISORS, INC.

RELIASTAR FINANCIAL MARKETING CORP.

SUNSET FINANCIAL SERVICES, INC.

RELIASTAR FINANCIAL MARKETING CORP.

Primary Firm SEC Registration

SAVANT WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/12/1983

Series 6

Date: 9/15/1983

Current Firm

SAVANT WEALTH MANAGEMENT

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAVANT WEALTH MANAGEMENT

TRUST BUT VERIFY

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