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
Daniel Allen Doughty
Feed of 09/14/2026
At current firm
13 y
since Aug 2, 2013
In the industry
21 y
since Aug 16, 2005 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
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 Aug 2, 2013 · Houston, Tx
- Avidian Wealth Solutions independent RIAJan 9, 2013 to Aug 5, 2013 · Houston, Tx
- Lucia Capital Group formerApr 9, 2010 to Jan 8, 2013 · San Diego, Ca
- Raymond J. Lucia Companies, Inc. unclassifiedMar 26, 2009 to Oct 20, 2010 · San Diego, Ca
- First Allied Securities, Inc. formerMar 2, 2009 to Mar 2, 2009 · San Diego, Ca
- Securian Financial Services, Inc. formerAug 23, 2005 to Dec 31, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Avidian Wealth Solutions to LPL Financial LLCleft Aug 5, 2013, registered Aug 2, 2013 (-3 days) · Other
- Lucia Capital Group to Avidian Wealth Solutionsleft Jan 8, 2013, registered Jan 9, 2013 (1 days) · Other
- Raymond J. Lucia Companies, Inc. to Lucia Capital Groupleft Oct 20, 2010, registered Apr 9, 2010 (-194 days) · Other
- First Allied Securities, Inc. to Raymond J. Lucia Companies, Inc.left Mar 2, 2009, registered Mar 26, 2009 (24 days) · Other
- Securian Financial Services, Inc. to First Allied Securities, Inc.left Dec 31, 2008, registered Mar 2, 2009 (61 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address