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 Michael Purcell
Feed of 09/14/2026
Also filed as Doug Purcell
At current firm
9 y
since Dec 13, 2016
In the industry
32 y
since Oct 18, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Fort Sheridan Advisors LLC independent RIA currentsince Dec 13, 2016 · Highland Park, Il
- Oppenheimer & Co. Inc. BD affiliatedSep 30, 2011 to Dec 16, 2016 · Chicago, Il
- UBS Financial Services Inc. wirehouseJun 30, 2005 to Oct 10, 2011 · Chicago, Il
- RBC Capital Markets, LLC national BDMar 1, 2005 to Jul 18, 2005 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Oppenheimer & Co. Inc. to Fort Sheridan Advisors LLCleft Dec 16, 2016, registered Dec 13, 2016 (-3 days) · Other
- UBS Financial Services Inc. to Oppenheimer & Co. Inc.left Oct 10, 2011, registered Sep 30, 2011 (-10 days) · Other
- RBC Capital Markets, LLC to UBS Financial Services Inc.left Jul 18, 2005, registered Jun 30, 2005 (-18 days) · Affiliated broker-dealer or bank to wirehouse
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