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 Shipley
Certified Financial Planner
Feed of 09/15/2026
Also filed as Dave Shipley
At current firm
11 y
since Feb 20, 2015
In the industry
22 y
since Oct 28, 2003 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Feb 20, 2015 · St. George, Ut
- Zions Capital Advisors, Inc. institutionalApr 29, 2014 to Feb 20, 2015 · Provo, Ut
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Apr 28, 2014 · Provo, Ut
- Chase Investment Services Corp. formerMar 25, 2009 to Oct 1, 2012 · Provo, Ut
- Woodbury Financial Services, Inc. formerOct 9, 2007 to Mar 24, 2009 · Orem, Ut
- Northwestern Mutual Investment Services,LLC no RAUMJun 27, 2006 to Oct 8, 2007 · Provo, Ut
Moves
a registration end followed by a registration begin elsewhere
- Zions Capital Advisors, Inc. to LPL Financial LLCleft Feb 20, 2015, registered Feb 20, 2015 (0 days) · Other · moved with a team
- J.P. Morgan Securities LLC to Zions Capital Advisors, Inc.left Apr 28, 2014, registered Apr 29, 2014 (1 days) · Other
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Woodbury Financial Services, Inc. to Chase Investment Services Corp.left Mar 24, 2009, registered Mar 25, 2009 (1 days) · Other
- Northwestern Mutual Investment Services,LLC to Woodbury Financial Services, Inc.left Oct 8, 2007, registered Oct 9, 2007 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address