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 L Woolbert
Feed of 09/14/2026
Also filed as Doug Woolbert
At current firm
5 y
since Jun 30, 2021
In the industry
29 y
since Nov 19, 1996 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Pruco Securities, LLC no RAUM currentsince Jun 30, 2021 · Cazenovia, Ny
- Prudential Select Strategies LLC institutionalOct 26, 2018 to Jul 2, 2021 · Cazenovia, Ny
- Equitable Advisors, LLC national BDNov 29, 2017 to Aug 6, 2018 · Syracuse, Ny
- E*Trade Capital Management, LLC formerJan 8, 2009 to Aug 29, 2016 · Arlington, Va
- Banc Of America Investment Services, Inc. unclassifiedOct 20, 2004 to Jan 16, 2007 · Lincolnr, Ri
- Quick & Reilly, Inc. unclassifiedSep 10, 2002 to Oct 20, 2004 · Lincoln, Ri
Moves
a registration end followed by a registration begin elsewhere
- Prudential Select Strategies LLC to Pruco Securities, LLCleft Jul 2, 2021, registered Jun 30, 2021 (-2 days) · channel change inside one enterprise, not a move
- Equitable Advisors, LLC to Prudential Select Strategies LLCleft Aug 6, 2018, registered Oct 26, 2018 (81 days) · Affiliated broker-dealer or bank to independent RIA
- E*Trade Capital Management, LLC to Equitable Advisors, LLCleft Aug 29, 2016, registered Nov 29, 2017 (457 days) · Other
- Banc Of America Investment Services, Inc. to E*Trade Capital Management, LLCleft Jan 16, 2007, registered Jan 8, 2009 (723 days) · Other
- Quick & Reilly, Inc. to Banc Of America Investment Services, Inc.left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- No RAUM reportedderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address