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 Harrigan
Feed of 09/14/2026
Also filed as Douglas P Harrigan
At current firm
5 y
since Jan 12, 2021
In the industry
32 y
since Apr 1, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- Wharton Midmarket Investment Advisors Inc independent RIA currentsince Jan 12, 2021 · Milford, Ct
- Wharton Midmarket Investment Advisors Inc independent RIANov 19, 2019 to Dec 31, 2020 · Milford, Ct
- Cetera Advisor Networks LLC formerSep 3, 2013 to Nov 10, 2014 · Milford, Ct
- Walnut Street Securities, Inc. formerDec 3, 2009 to Sep 3, 2013 · North Haven, Ct
- Osaic Fs, Inc. formerMar 14, 2003 to Dec 3, 2009 · Milford, Ct
- Polaris Advisory Services Inc unclassifiedDec 2, 1996 to Mar 25, 2003 · Milford, Ct
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisor Networks LLC to Wharton Midmarket Investment Advisors Incleft Nov 10, 2014, registered Nov 19, 2019 (1835 days) · Other
- Walnut Street Securities, Inc. to Cetera Advisor Networks LLCleft Sep 3, 2013, registered Sep 3, 2013 (0 days) · Other
- Osaic Fs, Inc. to Walnut Street Securities, Inc.left Dec 3, 2009, registered Dec 3, 2009 (0 days) · Other
- Polaris Advisory Services Inc to Osaic Fs, Inc.left Mar 25, 2003, registered Mar 14, 2003 (-11 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address