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
Donald James Traugott
Feed of 09/14/2026
Also filed as Don Traugott
At current firm
15 y
since Feb 2, 2011
In the industry
32 y
since Jun 22, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
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
- Brookstone Capital Management LLC independent RIA currentsince Feb 2, 2011 · Spring, Tx
- Equitable Advisors, LLC national BDJul 15, 2008 to Aug 4, 2009 · Houston, Tx
- Capital Financial Services, Inc. formerMar 22, 2006 to Jul 16, 2008 · Tulsa, Ok
- Geneos Wealth Management, Inc. BD affiliatedNov 21, 2005 to Mar 23, 2006 · Tulsa, Ok
- Thrivent Investment Management Inc. BD affiliatedApr 29, 2003 to Nov 25, 2005 · Tulsa, Ok
Moves
a registration end followed by a registration begin elsewhere
- Equitable Advisors, LLC to Brookstone Capital Management LLCleft Aug 4, 2009, registered Feb 2, 2011 (547 days) · Other
- Capital Financial Services, Inc. to Equitable Advisors, LLCleft Jul 16, 2008, registered Jul 15, 2008 (-1 days) · Other
- Geneos Wealth Management, Inc. to Capital Financial Services, Inc.left Mar 23, 2006, registered Mar 22, 2006 (-1 days) · Other
- Thrivent Investment Management Inc. to Geneos Wealth Management, Inc.left Nov 25, 2005, registered Nov 21, 2005 (-4 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