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 M Zator
Feed of 09/15/2026
Also filed as Douglas Zator
At current firm
2 y
since Dec 7, 2023
In the industry
11 y
since Oct 24, 2014 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Emerson Equity LLC BD affiliated currentsince Dec 7, 2023 · Newport Beach, Ca
- Arkadios Wealth Advisors BD affiliatedAug 9, 2023 to Dec 11, 2023 · Newport Beach, Ca
- Emerson Equity LLC BD affiliatedNov 19, 2021 to Aug 15, 2023 · Costa Mesa, Ca
- Quincy Wells Advisors, LLC independent RIANov 11, 2020 to Nov 18, 2021 · Costa Mesa, Ca
- Cantor Fitzgerald Investment Advisors mixed wealthNov 6, 2018 to Nov 12, 2020 · Newport, Ca
- J.P. Morgan Securities LLC wirehouseMay 23, 2017 to Nov 9, 2018 · Chicago, Il
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 30, 2016 to Mar 9, 2017 · Chicago, Il
- Msi Financial Services, Inc. formerDec 7, 2015 to Jun 23, 2016 · Downers Grove, Il
Moves
a registration end followed by a registration begin elsewhere
- Arkadios Wealth Advisors to Emerson Equity LLCleft Dec 11, 2023, registered Dec 7, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- Emerson Equity LLC to Arkadios Wealth Advisorsleft Aug 15, 2023, registered Aug 9, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- Quincy Wells Advisors, LLC to Emerson Equity LLCleft Nov 18, 2021, registered Nov 19, 2021 (1 days) · RIA to affiliated broker-dealer or bank
- Cantor Fitzgerald Investment Advisors to Quincy Wells Advisors, LLCleft Nov 12, 2020, registered Nov 11, 2020 (-1 days) · RIA to RIA
- J.P. Morgan Securities LLC to Cantor Fitzgerald Investment Advisorsleft Nov 9, 2018, registered Nov 6, 2018 (-3 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to J.P. Morgan Securities LLCleft Mar 9, 2017, registered May 23, 2017 (75 days) · Wirehouse to wirehouse
- Msi Financial Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jun 23, 2016, registered Jun 30, 2016 (7 days) · Other
Signals
- Douglas M Zator left Arkadios Wealth Advisors for Emerson Equity Llc (registered 2023-12-07)Dec 11, 2023 · Advisor changed firm · fact
- Douglas M Zator left Emerson Equity Llc for Arkadios Wealth Advisors (registered 2023-08-09)Aug 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address