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
Diana Gayle Dorn
Feed of 09/14/2026
At current firm
14 y
since Jan 27, 2012
In the industry
42 y
since Sep 22, 1983 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Stifel, Nicolaus & Company, Incorporated national BD currentsince Jan 27, 2012 · San Francisco, Ca
- Thomas Weisel Partners LLC formerJan 3, 2011 to Mar 28, 2012 · London
- Stifel, Nicolaus & Company, Incorporated national BDJan 3, 2011 to Jan 4, 2011 · San Francisco, Ca
- Lwi Financial Inc. formerOct 29, 2010 to Dec 22, 2010 · San Jose, Ca
- Independent Advisers Group Corp formerApr 26, 2010 to Aug 30, 2010 · San Diego, Ca
- LPL Financial LLC BD affiliatedNov 22, 2005 to Aug 30, 2010 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Thomas Weisel Partners LLC to Stifel, Nicolaus & Company, Incorporatedleft Mar 28, 2012, registered Jan 27, 2012 (-61 days) · channel change inside one enterprise, not a move
- Stifel, Nicolaus & Company, Incorporated to Thomas Weisel Partners LLCleft Jan 4, 2011, registered Jan 3, 2011 (-1 days) · channel change inside one enterprise, not a move
- Lwi Financial Inc. to Stifel, Nicolaus & Company, Incorporatedleft Dec 22, 2010, registered Jan 3, 2011 (12 days) · Other
- LPL Financial LLC to Independent Advisers Group Corpleft Aug 30, 2010, registered Apr 26, 2010 (-126 days) · Other
- Independent Advisers Group Corp to Lwi Financial Inc.left Aug 30, 2010, registered Oct 29, 2010 (60 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address