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
Karen Laura Caulfield
Feed of 09/14/2026
Also filed as Karen Laura Caulfield
At current firm
3 y
since Mar 27, 2023
In the industry
32 y
since Oct 1, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- D.A. Davidson & Co. independent RIA currentsince Mar 27, 2023 · Austin, Tx
- Hilltop Securities Inc. BD affiliatedOct 7, 2016 to Apr 22, 2023 · Dallas, Tx
- Voya Financial Advisors, Inc. BD affiliatedJan 13, 2016 to May 9, 2016 · Austin, Tx
- Oppenheimer & Co. Inc. BD affiliatedSep 27, 2010 to Feb 9, 2015 · Austin, Tx
- Wells Fargo Advisors wirehouseDec 11, 2009 to Sep 27, 2010 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- Hilltop Securities Inc. to D.A. Davidson & Co.left Apr 22, 2023, registered Mar 27, 2023 (-26 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Voya Financial Advisors, Inc. to Hilltop Securities Inc.left May 9, 2016, registered Oct 7, 2016 (151 days) · Other
- Oppenheimer & Co. Inc. to Voya Financial Advisors, Inc.left Feb 9, 2015, registered Jan 13, 2016 (338 days) · Other
- Wells Fargo Advisors to Oppenheimer & Co. Inc.left Sep 27, 2010, registered Sep 27, 2010 (0 days) · Other
Signals
- Karen Laura Caulfield left Hilltop Securities Inc. for D.A. Davidson & Co. (registered 2023-03-27)Apr 22, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address