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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Elias Dau

Advisor at FIRST COMMAND ADVISORY SERVICES

FORT WORTH, TX | Cary, NC

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Search this name across graphsid dfx:ria:9bdb6764-aa69-8ad4-da1b-8e4f50f159c1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jul 29, 2004 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: FIRST COMMAND ADVISORY SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 26, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 26, 1997
First registration: Jul 29, 2004
Dual registered: yes, broker-dealer
Other names: Elias Richard Dau|ELIAS R. DAU|Elias R Dau
IAPD individual key: 2976332

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
FIRST COMMAND ADVISORY SERVICES	Bd affiliated wealth	Aug 3, 2026	n/a	yes	Cary, NC\|FORT WORTH, TX	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	May 29, 2025	Mar 17, 2026	no	Raleigh, NC\|Raleigh, NC\|RALEIGH, NC	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 20, 2021	Dec 13, 2024	no	EL SEGUNDO, CA	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Mar 26, 2019	Apr 12, 2021	no	IRVINE, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 17, 2009	Jun 13, 2018	no	NEWPORT BEACH, CA\|NEWPORT BEACH, CA\|FORT LEE, NJ\|FORT LEE, NJ\|SEAL BEACH, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Feb 5, 2009	Feb 26, 2009	no	PARAMUS, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 29, 2004	Feb 6, 2009	no	FORT LEE, NJ\|PARAMUS, NJ\|PARAMUS, NJ	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
AMERIPRISE FINANCIAL SERVICES, LLC	FIRST COMMAND ADVISORY SERVICES	Mar 17, 2026	Aug 3, 2026	139	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 13, 2024	May 29, 2025	167	Firm change	Wirehouse to ibd
PRINCIPAL SECURITIES, INC.	WELLS FARGO ADVISORS	Apr 12, 2021	Dec 20, 2021	252	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PRINCIPAL SECURITIES, INC.	Jun 13, 2018	Mar 26, 2019	286	Firm change	Wirehouse to ibd
CITIGROUP GLOBAL MARKETS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 26, 2009	Feb 17, 2009	-9	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Feb 6, 2009	Feb 5, 2009	-1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
19616:6363:CA:2024-11-29	Dec 13, 2024	May 29, 2025	EL SEGUNDO, CA	Firm change

Relationships

Registered with (6)

→ FIRST COMMAND ADVISORY SERVICESRegistered adviserregistration: current employment
Aug 3, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
May 29, 2025 to Mar 17, 2026factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 20, 2021 to Dec 13, 2024factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Mar 26, 2019 to Apr 12, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 17, 2009 to Jun 13, 2018factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Feb 5, 2009 to Feb 26, 2009factForm ADV

Dated events

Occurred
Mar 17, 2026
Advisor changed firm
Elias Dau left Ameriprise Financial Services, Llc for First Command Advisory Services (registered 2026-08-03)
Form ADVobserved 5 days ago
Occurred
Dec 13, 2024
Advisor changed firm
Elias Dau left Wells Fargo Advisors for Ameriprise Financial Services, Llc (registered 2025-05-29)
Form ADVobserved 5 days ago