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
Dalas Lee Gundersen
Feed of 09/14/2026
At current firm
3 y
since Feb 10, 2023
In the industry
27 y
since Nov 4, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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 Feb 10, 2023 · Willows, Ca
- Kovack Advisors, Inc. BD affiliatedMay 19, 2015 to Feb 10, 2023 · Arbuckle, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 12, 2011 to Sep 19, 2011 · Chico, Ca
- Edward Jones national BDNov 6, 2006 to Dec 26, 2014 · Willows, Ca
Moves
a registration end followed by a registration begin elsewhere
- Kovack Advisors, Inc. to LPL Financial LLCleft Feb 10, 2023, registered Feb 10, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA
- Edward Jones to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Dec 26, 2014, registered Sep 12, 2011 (-1201 days) · Affiliated broker-dealer or bank to wirehouse
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Kovack Advisors, Inc.left Sep 19, 2011, registered May 19, 2015 (1338 days) · Other
Signals
- Dalas Lee Gundersen left Kovack Advisors, Inc. for Lpl Financial Llc (registered 2023-02-10)Feb 10, 2023 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address