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 Caesare
Feed of 09/14/2026
At current firm
4 y
since Jan 10, 2022
In the industry
32 y
since May 23, 1994 (earliest exam, job or registration)
Prior registered firms
7
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 10, 2022 · Santa Rosa, Ca
- Grove Point Advisors, LLC formerNov 24, 2021 to Jan 10, 2022 · Santa Rosa, Ca
- LPL Financial LLC BD affiliatedAug 15, 2011 to Dec 6, 2021 · Beaverton, Or
- Sorrento Pacific Financial, LLC formerJan 19, 2011 to Aug 26, 2011 · Santa Rosa, Ca
- LPL Financial LLC BD affiliatedMar 4, 2008 to Jan 31, 2011 · Guerneville, Ca
- Ifmg Securities, Inc. unclassifiedMar 23, 2005 to Mar 4, 2008 · Sebastopol, Ca
- Foothill Securities, Inc. formerNov 6, 2002 to Dec 20, 2002 · Santa Rosa, Ca
- Morgan Stanley Dw Inc. unclassifiedJan 2, 2002 to Jun 6, 2002 · Santa Rosa, Ca
Moves
a registration end followed by a registration begin elsewhere
- Grove Point Advisors, LLC to LPL Financial LLCleft Jan 10, 2022, registered Jan 10, 2022 (0 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Grove Point Advisors, LLCleft Dec 6, 2021, registered Nov 24, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- Sorrento Pacific Financial, LLC to LPL Financial LLCleft Aug 26, 2011, registered Aug 15, 2011 (-11 days) · Other
- LPL Financial LLC to Sorrento Pacific Financial, LLCleft Jan 31, 2011, registered Jan 19, 2011 (-12 days) · Other
- Ifmg Securities, Inc. to LPL Financial LLCleft Mar 4, 2008, registered Mar 4, 2008 (0 days) · corporate re-registration, not a move
- Foothill Securities, Inc. to Ifmg Securities, Inc.left Dec 20, 2002, registered Mar 23, 2005 (824 days) · Other
- Morgan Stanley Dw Inc. to Foothill Securities, Inc.left Jun 6, 2002, registered Nov 6, 2002 (153 days) · Other
Signals
- Douglas Paul Caesare left Grove Point Advisors, Llc for Lpl Financial Llc (registered 2022-01-10)Jan 10, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address