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.
Feed of 09/14/2026
Also filed as Gina Faye Douglass
At current firm
3 y
since Jul 18, 2023
In the industry
13 y
since Jan 19, 2013 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- Sequent Planning, LLC independent RIA currentsince Jul 18, 2023 · Omaha, Ne
- Cambridge Investment Research Advisors, Inc. BD affiliatedOct 13, 2021 to Jul 26, 2023 · Galesburg, Il
- Farmers Financial Solutions, LLC formerNov 11, 2016 to Mar 2, 2020 · Galesburg, Il
- Msi Financial Services, Inc. formerJun 9, 2014 to Mar 3, 2015 · Galesburg, Il
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to Sequent Planning, LLCleft Jul 26, 2023, registered Jul 18, 2023 (-8 days) · Affiliated broker-dealer or bank to independent RIA
- Farmers Financial Solutions, LLC to Cambridge Investment Research Advisors, Inc.left Mar 2, 2020, registered Oct 13, 2021 (590 days) · Other
- Msi Financial Services, Inc. to Farmers Financial Solutions, LLCleft Mar 3, 2015, registered Nov 11, 2016 (619 days) · Other
Signals
- Gina Faye Martin left Cambridge Investment Research Advisors, Inc. for Sequent Planning, Llc (registered 2023-07-18)Jul 26, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address