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RIA / WealthAdvisor32 years in industry

DONALD JAMES TRAUGOTT

Advisor at BROOKSTONE CAPITAL MANAGEMENT LLC

SPRING, TX | WHEATON, IL

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Search this name across graphsid dfx:ria:e340e7d9-55f3-2dae-9f37-1b29274cf557

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 29, 2003 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: BROOKSTONE CAPITAL MANAGEMENT LLC
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: Jun 22, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S66
First exam: Jun 22, 1994
First registration: Apr 29, 2003
Dual registered: no
Other names: DON TRAUGOTT
IAPD individual key: 2498058

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
BROOKSTONE CAPITAL MANAGEMENT LLC	Independent wealth	Feb 2, 2011	n/a	yes	SPRING, TX\|WHEATON, IL	Current employment
EQUITABLE ADVISORS, LLC	National bd RIA	Jul 15, 2008	Aug 4, 2009	no	HOUSTON, TX\|TULSA, OK\|COSTA MESA, CA\|IRVINE, CA\|COSTA MESA, CA\|IRVINE, CA	Previous registration
CAPITAL FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 22, 2006	Jul 16, 2008	no	TULSA, OK\|COSTA MESA, CA\|TULSA, OK\|MOORE, OK	Previous registration
GENEOS WEALTH MANAGEMENT, INC.	Bd affiliated wealth	Nov 21, 2005	Mar 23, 2006	no	TULSA, OK\|TULSA, OK\|TULSA, OK	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	Apr 29, 2003	Nov 25, 2005	no	TULSA, OK	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
EQUITABLE ADVISORS, LLC	BROOKSTONE CAPITAL MANAGEMENT LLC	Aug 4, 2009	Feb 2, 2011	547	Firm change after gap	Other
CAPITAL FINANCIAL SERVICES, INC.	EQUITABLE ADVISORS, LLC	Jul 16, 2008	Jul 15, 2008	-1	Firm change	Other
GENEOS WEALTH MANAGEMENT, INC.	CAPITAL FINANCIAL SERVICES, INC.	Mar 23, 2006	Mar 22, 2006	-1	Firm change	Other
THRIVENT INVESTMENT MANAGEMENT INC.	GENEOS WEALTH MANAGEMENT, INC.	Nov 25, 2005	Nov 21, 2005	-4	Firm change	Other

Relationships

Registered with (5)

→ BROOKSTONE CAPITAL MANAGEMENT LLCRegistered adviserregistration: current employment
Feb 2, 2011 to presentfactForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 15, 2008 to Aug 4, 2009factForm ADV
→ CAPITAL FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 22, 2006 to Jul 16, 2008factForm ADV
→ GENEOS WEALTH MANAGEMENT, INC.Registered adviserregistration: previous registration
Nov 21, 2005 to Mar 23, 2006factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Apr 29, 2003 to Nov 25, 2005factForm ADV

Dated events

No dated event names this entity yet.