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
Douglas Stephan King
Certified Financial Planner
Feed of 09/15/2026
Also filed as Doug King
At current firm
6 y
since Apr 30, 2020
In the industry
41 y
since Jun 21, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
17
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Oakwood Capital, Inc. independent RIA currentsince Apr 30, 2020 · St. Louis Park, Mn
- Oakwood Capital, Inc. independent RIAApr 30, 2020 to Dec 31, 2020 · St. Louis Park, Mn
- Prosperity Capital Advisors independent RIAApr 7, 2017 to Jun 17, 2020 · Westlake, Oh
- Cetera Advisor Networks LLC formerApr 24, 2012 to Sep 17, 2017 · El Segundo, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 17, 2003 to Jan 28, 2011 · Wayzata, Mn
Moves
a registration end followed by a registration begin elsewhere
- Prosperity Capital Advisors to Oakwood Capital, Inc.left Jun 17, 2020, registered Apr 30, 2020 (-48 days) · Other
- Cetera Advisor Networks LLC to Prosperity Capital Advisorsleft Sep 17, 2017, registered Apr 7, 2017 (-163 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Cetera Advisor Networks LLCleft Jan 28, 2011, registered Apr 24, 2012 (452 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
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address