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.
Feed of 09/15/2026
Also filed as Dave Brian Carroll
At current firm
2 y
since Feb 16, 2024
In the industry
31 y
since Jan 6, 1995 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Cwm, LLC BD affiliated currentsince Feb 16, 2024 · Omaha, Ne
- Elk River Wealth Management LLC independent RIAAug 19, 2020 to Feb 16, 2024 · Omaha, Ne
- LPL Financial LLC BD affiliatedDec 23, 2011 to Aug 18, 2020 · Omaha, Ne
- First National Capital Markets, Inc. formerJun 1, 2010 to Nov 30, 2011 · Omaha, Ne
- Cetera Investment Services LLC formerMay 19, 2006 to Jun 2, 2010 · Council Bluffs, Ia
Moves
a registration end followed by a registration begin elsewhere
- Elk River Wealth Management LLC to Cwm, LLCleft Feb 16, 2024, registered Feb 16, 2024 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- LPL Financial LLC to Elk River Wealth Management LLCleft Aug 18, 2020, registered Aug 19, 2020 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- First National Capital Markets, Inc. to LPL Financial LLCleft Nov 30, 2011, registered Dec 23, 2011 (23 days) · Other
- Cetera Investment Services LLC to First National Capital Markets, Inc.left Jun 2, 2010, registered Jun 1, 2010 (-1 days) · Other
Signals
- David Carroll left Elk River Wealth Management Llc for Cwm, Llc (registered 2024-02-16)Feb 16, 2024 · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address