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RIA / WealthAdvisorChartered Financial Analyst38 years in industry

DOUGLASS WILLIAM LIST

Advisor at 31 MOORGATE, INC.

CHARLOTTESVILLE, VA

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Search this name across graphsid dfx:ria:84954cbf-8c22-6c60-36c4-c3b50ef8db9b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 17, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: 31 MOORGATE, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S63|S65
First exam: Mar 7, 1997
First registration: May 17, 2002
Dual registered: no
Other names: DOUGLAS WILLIAM LIST
IAPD individual key: 2867421

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
31 MOORGATE, INC.	State registered	Jun 22, 2021	n/a	yes	CHARLOTTESVILLE, VA	Current employment
31MOORGATE, INC.	n/a	Apr 12, 2018	Dec 31, 2019	no	BALTIMORE, MD	Previous registration
31MOORGATE, INC.	n/a	Feb 18, 2015	Dec 31, 2017	no	BALTIMORE, MD	Previous registration
AFTON ADVISORS, LLC	n/a	Sep 8, 2005	Dec 23, 2008	no	YARDLEY, PA	Previous registration
AFTON ADVISORS, LLC	n/a	Sep 8, 2005	Dec 31, 2005	no	YARDLEY, PA	Previous registration
AVANTAX ADVISORY SERVICES	Former SEC adviser	Oct 30, 2003	Dec 13, 2004	no	YARDLEY, PA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 17, 2002	Oct 15, 2003	no	COLUMBIA, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
31MOORGATE, INC.	31 MOORGATE, INC.	Dec 31, 2019	Jun 22, 2021	539	Firm change after gap	Other
AFTON ADVISORS, LLC	31MOORGATE, INC.	Dec 23, 2008	Feb 18, 2015	2,248	Firm change after gap	Other
AVANTAX ADVISORY SERVICES	AFTON ADVISORS, LLC	Dec 13, 2004	Sep 8, 2005	269	Firm change	Other
EQUITABLE ADVISORS, LLC	AVANTAX ADVISORY SERVICES	Oct 15, 2003	Oct 30, 2003	15	Firm change	Other

Relationships

Registered with (5)

→ 31 MOORGATE, INC.Registered adviserregistration: current employment
Jun 22, 2021 to presentfactForm ADV
→ 31MOORGATE, INC.Registered adviserregistration: previous registration
Apr 12, 2018 to Dec 31, 2019factForm ADV
→ AFTON ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 8, 2005 to Dec 23, 2008factForm ADV
→ AVANTAX ADVISORY SERVICESRegistered adviserregistration: previous registration
Oct 30, 2003 to Dec 13, 2004factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 17, 2002 to Oct 15, 2003factForm ADV

Dated events

No dated event names this entity yet.