DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Drake Howard Zimmerman

LPL Financial LLCBD affiliatedNormal, Ildual registrantIAPD 1070600

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

At current firm

1 y

since Sep 30, 2024

In the industry

43 y

since Oct 22, 1982 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Sep 30, 2024 · Normal, Il
Cetera Investment Advisers LLC BD affiliated
Nov 12, 2020 to Oct 9, 2024 · Normal, Il
First Allied Advisory Services, Inc. former
Jul 2, 2012 to Nov 12, 2020 · Normal, Il
Zimmerman & Armstrong Investment Advisors unclassified
Jul 19, 1998 to Oct 17, 2024 · Normal, Il
First Allied Securities, Inc. former
Dec 7, 1997 to Jul 2, 2012 · Normal, Il

Moves

a registration end followed by a registration begin elsewhere

Zimmerman & Armstrong Investment Advisors to First Allied Advisory Services, Inc.
left Oct 17, 2024, registered Jul 2, 2012 (-4490 days) · Other
Cetera Investment Advisers LLC to LPL Financial LLC
left Oct 9, 2024, registered Sep 30, 2024 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
First Allied Advisory Services, Inc. to Cetera Investment Advisers LLC
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
First Allied Securities, Inc. to Zimmerman & Armstrong Investment Advisors
left Jul 2, 2012, registered Jul 19, 1998 (-5097 days) · Other

Signals

Drake Howard Zimmerman left Zimmerman & Armstrong Investment Advisors for First Allied Advisory Services, Inc. (registered 2012-07-02)
Oct 17, 2024 · Advisor changed firm · fact
Drake Howard Zimmerman left Cetera Investment Advisers Llc for Lpl Financial Llc (registered 2024-09-30)
Oct 9, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address