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 Bontempo Frawley
Certified Financial Planner
Feed of 09/15/2026
Also filed as Douglas B Frawley
At current firm
1 y
since Mar 20, 2025
In the industry
12 y
since Nov 1, 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
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Gwn Securities Inc. BD affiliated currentsince Mar 20, 2025 · Palm Beach Gardens, Fl
- Avalon state registeredMar 28, 2024 to Mar 25, 2025 · Naples, Fl
- Fisher Investments independent RIAFeb 12, 2021 to Jan 8, 2024 · Plano, Tx
- Morgan Stanley wirehouseJul 12, 2018 to Nov 19, 2020 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- Avalon to Gwn Securities Inc.left Mar 25, 2025, registered Mar 20, 2025 (-5 days) · Other
- Fisher Investments to Avalonleft Jan 8, 2024, registered Mar 28, 2024 (80 days) · RIA to a state-registered adviser
- Morgan Stanley to Fisher Investmentsleft Nov 19, 2020, registered Feb 12, 2021 (85 days) · Wirehouse to independent RIA
Signals
- Douglas Bontempo Frawley left Avalon for Gwn Securities Inc. (registered 2025-03-20)Mar 25, 2025 · Advisor changed firm · fact
- Douglas Bontempo Frawley left Fisher Investments for Avalon (registered 2024-03-28)Jan 8, 2024 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address