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
Darren J Walloch
Certified Financial Planner
Feed of 09/14/2026
Also filed as Darren James Walloch
At current firm
5 y
since Sep 29, 2020
In the industry
23 y
since Dec 9, 2002 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Hightower Advisors, LLC BD affiliated currentsince Sep 29, 2020 · Chicago, Il
- Frontier Investment Management Co formerJul 13, 2018 to Nov 16, 2020 · Woodstock, Il
- Charles Schwab & Co., Inc. national BDOct 3, 2011 to Jan 28, 2014 · Dallas, Tx
- Thrivent Investment Management Inc. BD affiliatedMar 10, 2009 to Nov 10, 2009 · Irving, Tx
- Td Ameritrade Investment Management, LLC formerApr 4, 2008 to Mar 9, 2009 · Fort Worth, Tx
- Td Ameritrade, Inc. formerApr 4, 2008 to Mar 9, 2009 · Fort Worth, Tx
- Walloch Capital Advisors unclassifiedJun 26, 2007 to Nov 15, 2007 · Mckinney, Tx
- Gfn Capital Management independent RIAMay 30, 2006 to Nov 7, 2007 · Richardson, Tx
- Fsc Securities Corporation formerJan 15, 2003 to Jun 16, 2006 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- Frontier Investment Management Co to Hightower Advisors, LLCleft Nov 16, 2020, registered Sep 29, 2020 (-48 days) · corporate re-registration, not a move
- Charles Schwab & Co., Inc. to Frontier Investment Management Coleft Jan 28, 2014, registered Jul 13, 2018 (1627 days) · Affiliated broker-dealer or bank to independent RIA
- Thrivent Investment Management Inc. to Charles Schwab & Co., Inc.left Nov 10, 2009, registered Oct 3, 2011 (692 days) · Other
- Td Ameritrade Investment Management, LLC to Thrivent Investment Management Inc.left Mar 9, 2009, registered Mar 10, 2009 (1 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Mar 9, 2009, registered Apr 4, 2008 (-339 days) · channel change inside one enterprise, not a move
- Walloch Capital Advisors to Td Ameritrade, Inc.left Nov 15, 2007, registered Apr 4, 2008 (141 days) · Other
- Gfn Capital Management to Walloch Capital Advisorsleft Nov 7, 2007, registered Jun 26, 2007 (-134 days) · Other
- Fsc Securities Corporation to Gfn Capital Managementleft Jun 16, 2006, registered May 30, 2006 (-17 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address