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 Douglas Maloney
Feed of 09/15/2026
Also filed as Dan Maloney
At current firm
5 y
since Feb 8, 2021
In the industry
16 y
since Oct 1, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
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
- Cetera Investment Advisers LLC BD affiliated currentsince Sep 5, 2025 · Fishers, In
- Avantax Planning Partners, Inc. BD affiliated currentsince Feb 8, 2021 · Indianapolis, In
- Avantax Advisory Services formerFeb 13, 2025 to Sep 5, 2025 · Indianapolis, In
- Thurston Springer Advisors BD affiliatedAug 25, 2020 to Feb 2, 2021 · Indianapolis, In
- Thurston Springer Financial formerJun 26, 2019 to Feb 2, 2021 · Indianapolis, In
- Edward Jones national BDJan 4, 2010 to May 10, 2019 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- Avantax Advisory Services to Cetera Investment Advisers LLCleft Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- Thurston Springer Advisors to Avantax Planning Partners, Inc.left Feb 2, 2021, registered Feb 8, 2021 (6 days) · Affiliated broker-dealer or bank to independent RIA
- Thurston Springer Financial to Thurston Springer Advisorsleft Feb 2, 2021, registered Aug 25, 2020 (-161 days) · Affiliated broker-dealer or bank to another
- Edward Jones to Thurston Springer Financialleft May 10, 2019, registered Jun 26, 2019 (47 days) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address