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
David Andrew Farrell
Certified Financial Planner
Feed of 09/15/2026
Also filed as Dave Farrell
At current firm
1 y
since Jan 23, 2025
In the industry
29 y
since Jul 29, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, 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
- LPL Financial LLC BD affiliated currentsince Jan 23, 2025 · Park Ridge, Il
- Wintrust Investments formerJul 27, 2015 to Jan 23, 2025 · Wheaton, Il
- LPL Financial LLC BD affiliatedNov 17, 2009 to Jul 31, 2015 · Glen Ellyn, Il
- J.P. Morgan Securities Inc. unclassifiedSep 27, 2006 to Mar 19, 2008 · Green Bay, Wi
- Banc One Securities Corporation unclassifiedSep 12, 2005 to Sep 27, 2006 · Appleton, Wi
- J.P. Morgan Asset Management unclassifiedNov 9, 2000 to Jan 4, 2005 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Wintrust Investments to LPL Financial LLCleft Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
- LPL Financial LLC to Wintrust Investmentsleft Jul 31, 2015, registered Jul 27, 2015 (-4 days) · Other · moved with a team
- J.P. Morgan Securities Inc. to LPL Financial LLCleft Mar 19, 2008, registered Nov 17, 2009 (608 days) · Other
- Banc One Securities Corporation to J.P. Morgan Securities Inc.left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
- J.P. Morgan Asset Management to Banc One Securities Corporationleft Jan 4, 2005, registered Sep 12, 2005 (251 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address