Derek J. Bruton

REALTA INVESTMENT ADVISORS,

Plymouth Meeting, PA 19087

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CRD#: 2287900

Professional summary

Derek Jerold Bruton, who also goes by Derek Bruton, is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in Plymouth Meeting, Pennsylvania and REALTA EQUITIES, INC. located in Plymouth Meeting, Pennsylvania.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Derek has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 2, Series 9, Series 10, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Derek Bruton

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.

1. Guidepoint; Not investment related; Address: remote; Title: consultant; Start date: 04/01/2014; www.guidepoint.com; 3 hours per month during non-trading hours; Occasional consulting jobs from Guidepoint, industry-related topics. 2. Third Bridge; Not investment related; Address: remote; Title: consultant; Start date: 04/01/2014; https://thirdbridge.com; 3 hours per month during non-trading hours; Occasional consulting jobs from Third Bridge, industry-related topics. 3. GLG Resources; Not investment related; Address: remote; Title: consultant; Start date: 04/01/2014; www.glginsights.com; 3 hours per month during non-trading hours; Occasional consulting jobs from GLG Resources, industry-related topics. 4. Towering Insights, LLC; Not investment related; 8256 The Landing Way, San Diego, CA 92127; Management Consulting; CEO; 04/01/2021; 40 hours per week during normal trading hours; Provide non-securities, non-market related business consulting to institutions in the wealth management industry. 5. REALTA INVESTMENT ADVISORS, INC.; WILMINGTON, DE; INVESTMENT ADVISORY SERVICES, INVESTMENT ADVISOR REPRESENTATIVE; WWW.REALTAWEALTH.COM; COMPENSATION IN THE FOR OF FEES; 40 HOURS PER WEEK DURING NORMAL TRADING HOURS. 6. Gladstone Associates, LLC; 2250 Hickory Rd Ste 400 Plymouth Meeting, PA 19462; M&A Advisory Firm; www.gstonellc.com; Senior Managing Director; Compensation in the form of annual draw and fees; 40 hours per week during normal trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Jerold Bruton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 15, 2023 - Present

REALTA INVESTMENT ADVISORS, INC

Office #1: 2250 Hickory Road Suite 400, Plymouth Meeting, PA 19087

RIA

CRD#: 134952

Plymouth Meeting, PA

Current

March 18, 2023 - Present

REALTA EQUITIES, INC.

Office #1: 2250 Hickory Road Suite 400, Plymouth Meeting, PA 19087

CRD#: 23769

Plymouth Meeting, PA

Past

April 15, 2018 - August 24, 2021

KINGSWOOD WEALTH ADVISORS, LLC

RIA

CRD#: 288792

SAN DIEGO, CA

Past

April 15, 2018 - August 24, 2021

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

California
(3/15/2023)

California
(3/18/2023)

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. Note: This rule does not apply to broker-dealer activity.

REALTA INVESTMENT ADVISORS, INC

CRD#: 134952 / SEC#: 801-68000

RIA

Registered Investment Advisory firm - (6/6/2007 Approved)

New Jersey

Registered Investment Advisory firm - (6/11/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/27/2007 Terminated)

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Contact information

Main Address

1201 N. Orange Street Suite 729, Wilmington, DE 19801

Mailing Address

Phone number

(888) 657-5200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 3.21.2025 (3/31/2025)

ADV II 3.21.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,958
AUM (Assets Under Management)	$ 343,465,487

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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Firm Stability Insights

Derek J. Bruton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Jerold Bruton's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALTA EQUITIES, INC.

KINGSWOOD WEALTH ADVISORS, LLC

KINGSWOOD CAPITAL PARTNERS, LLC

FREEDOM INVESTMENTS, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

LUCIA CAPITAL GROUP

LUCIA SECURITIES, LLC

LPL FINANCIAL LLC

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

REALTA INVESTMENT ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/5/1996

Series 2

Date: 10/5/1992

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 2/24/2004

Series 8

Date: 11/11/1997

FINRA

Current Firm

REALTA INVESTMENT ADVISORS, INC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REALTA INVESTMENT ADVISORS, INC

TRUST BUT VERIFY

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