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RIA / WealthAdvisorCertified Financial Planner14 years in industry

DOUGLAS HANSON JONES

Advisor at EP WEALTH ADVISORS

Graham, TX | TORRANCE, CA

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Search this name across graphsid dfx:ria:b43787b2-2b3a-ce02-4a23-d7127f563fb8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Dec 7, 2011 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: EP WEALTH ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 6, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 6, 2011
First registration: Dec 7, 2011
Dual registered: no
Other names: DOUGLAS Hanson JONES|DOUGLAS JONES|Doug H. Jones|DOUGLAS H JONES
IAPD individual key: 5677992

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
EP WEALTH ADVISORS	Independent wealth	Nov 26, 2024	n/a	yes	Graham, TX\|TORRANCE, CA	Current employment
RILEY PRIVATE CLIENT LLC	Former SEC adviser	May 19, 2023	Nov 22, 2024	no	SOUTHLAKE, TX\|Graham, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 12, 2018	May 22, 2023	no	Fort Worth, TX	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Sep 19, 2014	Mar 20, 2018	no	CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 7, 2011	Sep 2, 2014	no	JACKSONVILLE, FL	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
RILEY PRIVATE CLIENT LLC	EP WEALTH ADVISORS	Nov 22, 2024	Nov 26, 2024	4	Firm change	RIA to RIA
CHARLES SCHWAB & CO., INC.	RILEY PRIVATE CLIENT LLC	May 22, 2023	May 19, 2023	-3	Firm change	Ibd to RIA
NEUBERGER BERMAN BD LLC	CHARLES SCHWAB & CO., INC.	Mar 20, 2018	Apr 12, 2018	23	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NEUBERGER BERMAN BD LLC	Sep 2, 2014	Sep 19, 2014	17	Firm change	Other

Relationships

Registered with (5)

→ EP WEALTH ADVISORSRegistered adviserregistration: current employment
Nov 26, 2024 to presentfactForm ADV
→ RILEY PRIVATE CLIENT LLCRegistered adviserregistration: previous registration
May 19, 2023 to Nov 22, 2024factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 12, 2018 to May 22, 2023factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Sep 19, 2014 to Mar 20, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 7, 2011 to Sep 2, 2014factForm ADV

Dated events

Occurred
Nov 22, 2024
Advisor changed firm
Douglas Hanson Jones left Riley Private Client Llc for Ep Wealth Advisors (registered 2024-11-26)
Form ADVobserved 5 days ago
Occurred
May 22, 2023
Advisor changed firm
Douglas Hanson Jones left Charles Schwab & Co., Inc. for Riley Private Client Llc (registered 2023-05-19)
Form ADVobserved 5 days ago