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 Paul Dhom
Feed of 09/15/2026
Also filed as Douglas Paul Dhom
At current firm
3 y
since Dec 7, 2022
In the industry
30 y
since Apr 17, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
16
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
- Voya Investment Management Co. LLC asset manager currentsince Dec 7, 2022 · New York, Ny
- Charles Schwab & Co., Inc. national BDJun 19, 2018 to Dec 9, 2022 · Atlanta, Ga
- New York Life Investment Management LLC asset managerAug 5, 2015 to Jun 7, 2017 · Johns Creek, Ga
- Invesco Advisers, Inc. asset managerJan 1, 2010 to Jun 12, 2015 · Atlanta, Ga
- Invesco Aim Private Asset Management, Inc. unclassifiedMay 19, 2006 to Jan 1, 2010 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Charles Schwab & Co., Inc. to Voya Investment Management Co. LLCleft Dec 9, 2022, registered Dec 7, 2022 (-2 days) · Other
- New York Life Investment Management LLC to Charles Schwab & Co., Inc.left Jun 7, 2017, registered Jun 19, 2018 (377 days) · Other
- Invesco Advisers, Inc. to New York Life Investment Management LLCleft Jun 12, 2015, registered Aug 5, 2015 (54 days) · Other
- Invesco Aim Private Asset Management, Inc. to Invesco Advisers, Inc.left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
Signals
- Douglas Paul Dhom left Charles Schwab & Co., Inc. for Voya Investment Management Co. Llc (registered 2022-12-07)Dec 9, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address