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 Carroll Shows

Cambridge Investment Research Advisors, Inc.BD affiliatedRome, Gadual registrantIAPD 4327643

Feed of 09/14/2026

Also filed as Douglas C Shows

At current firm

0 y

since Nov 25, 2025

In the industry

25 y

since May 14, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cambridge Investment Research Advisors, Inc. BD affiliated current
since Nov 25, 2025 · Rome, Ga
Dempsey Lord Smith, LLC former
Jan 6, 2026 to Apr 3, 2026 · Rome, Ga
Dempsey Lord Smith, LLC former
Sep 18, 2018 to Dec 31, 2025 · Rome, Ga
Concourse Financial Group Advisors former
Jun 17, 2011 to Sep 17, 2018 · Rome, Ga
Park Avenue Securities LLC BD affiliated
Nov 30, 2006 to Sep 28, 2010 · Rome, Ga
Park Avenue Securities LLC BD affiliated
Jun 26, 2006 to Nov 8, 2006 · Rome, Ga
Peachtree Planning Advisors, Inc. unclassified
Dec 14, 2005 to Dec 7, 2007 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

Dempsey Lord Smith, LLC to no registered destination
left Apr 3, 2026 · Departure, no registered destination
Dempsey Lord Smith, LLC to Cambridge Investment Research Advisors, Inc.
left Dec 31, 2025, registered Nov 25, 2025 (-36 days) · corporate re-registration, not a move
Concourse Financial Group Advisors to Dempsey Lord Smith, LLC
left Sep 17, 2018, registered Sep 18, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
Park Avenue Securities LLC to Concourse Financial Group Advisors
left Sep 28, 2010, registered Jun 17, 2011 (262 days) · Other
Peachtree Planning Advisors, Inc. to Park Avenue Securities LLC
left Dec 7, 2007, registered Jun 26, 2006 (-529 days) · Other

Signals

Douglas Carroll Shows no longer registered at Dempsey Lord Smith, Llc; no later IA registration on IAPD
Apr 3, 2026 · Advisor departure · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address