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 Alan King

LPL Enterprise, LLCBD affiliatedPlano, Txdual registrantIAPD 2696068

Feed of 09/14/2026

Also filed as David A King

At current firm

0 y

since May 6, 2026

In the industry

30 y

since Feb 8, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Enterprise, LLC BD affiliated current
since May 6, 2026 · Plano, Tx
Compass Financial Management LLC independent RIA
Nov 24, 2025 to May 18, 2026 · North Richland Hills, Tx
Allstate Financial Advisors, LLC BD affiliated
Aug 1, 2025 to Dec 4, 2025 · North Richland Hills, Tx
Simplicity Wealth mixed wealth
Jul 29, 2024 to Jun 9, 2025 · Summit, Nj
Ameriprise Financial Services, LLC national BD
Aug 21, 2020 to Jul 5, 2024 · Hurst, Tx
United Capital Financial Advisors independent RIA
Jun 1, 2012 to Sep 18, 2020 · Irving, Tx
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 23, 2009 to May 22, 2012 · Fort Worth, Tx
Banc Of America Investment Services, Inc. unclassified
May 28, 2004 to Oct 23, 2009 · Grapevine, Tx
UBS Financial Services Inc. wirehouse
May 4, 2001 to Jun 16, 2004 · Hurst, Tx

Moves

a registration end followed by a registration begin elsewhere

Compass Financial Management LLC to LPL Enterprise, LLC
left May 18, 2026, registered May 6, 2026 (-12 days) · RIA to affiliated broker-dealer or bank
Allstate Financial Advisors, LLC to Compass Financial Management LLC
left Dec 4, 2025, registered Nov 24, 2025 (-10 days) · Affiliated broker-dealer or bank to independent RIA
Simplicity Wealth to Allstate Financial Advisors, LLC
left Jun 9, 2025, registered Aug 1, 2025 (53 days) · RIA to affiliated broker-dealer or bank
Ameriprise Financial Services, LLC to Simplicity Wealth
left Jul 5, 2024, registered Jul 29, 2024 (24 days) · Other
United Capital Financial Advisors to Ameriprise Financial Services, LLC
left Sep 18, 2020, registered Aug 21, 2020 (-28 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to United Capital Financial Advisors
left May 22, 2012, registered Jun 1, 2012 (10 days) · Other
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
UBS Financial Services Inc. to Banc Of America Investment Services, Inc.
left Jun 16, 2004, registered May 28, 2004 (-19 days) · Other

Signals

David Alan King left Compass Financial Management Llc for Lpl Enterprise, Llc (registered 2026-05-06)
May 18, 2026 · Advisor changed firm · fact
David Alan King left Allstate Financial Advisors, Llc for Compass Financial Management Llc (registered 2025-11-24)
Dec 4, 2025 · Advisor changed firm · fact
David Alan King left Simplicity Wealth for Allstate Financial Advisors, Llc (registered 2025-08-01)
Jun 9, 2025 · Advisor changed firm · fact
David Alan King left Ameriprise Financial Services, Llc for Simplicity Wealth (registered 2024-07-29)
Jul 5, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address