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 Allen
Certified Financial Planner
Feed of 09/14/2026
Also filed as Douglas E Allen
At current firm
3 y
since Jan 3, 2023
In the industry
40 y
since May 1, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince Jan 3, 2023 · Grinnell, Ia
- Cetera Advisor Networks LLC formerFeb 23, 2022 to Dec 31, 2022 · Grinnell, Ia
- Cambridge Investment Research Advisors, Inc. BD affiliatedSep 27, 2017 to Mar 7, 2022 · Grinnell, Ia
- Investment Centers Of America, Inc. formerJul 11, 2012 to Sep 27, 2017 · Grinnell, Ia
- LPL Financial LLC BD affiliatedFeb 28, 2002 to Jul 26, 2012 · Grinnell, Ia
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisor Networks LLC to Cambridge Investment Research Advisors, Inc.left Dec 31, 2022, registered Jan 3, 2023 (3 days) · Affiliated broker-dealer or bank to another
- Cambridge Investment Research Advisors, Inc. to Cetera Advisor Networks LLCleft Mar 7, 2022, registered Feb 23, 2022 (-12 days) · Affiliated broker-dealer or bank to another
- Investment Centers Of America, Inc. to Cambridge Investment Research Advisors, Inc.left Sep 27, 2017, registered Sep 27, 2017 (0 days) · Other
- LPL Financial LLC to Investment Centers Of America, Inc.left Jul 26, 2012, registered Jul 11, 2012 (-15 days) · Other
Signals
- Douglas Allen left Cetera Advisor Networks Llc for Cambridge Investment Research Advisors, Inc. (registered 2023-01-03)Dec 31, 2022 · Advisor changed firm · fact
- Douglas Allen left Cambridge Investment Research Advisors, Inc. for Cetera Advisor Networks Llc (registered 2022-02-23)Mar 7, 2022 · 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address