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RIA / WealthAdvisor19 years in industry

THOMAS BRODERICK MULLINS

Advisor at DAKOTA WEALTH, LLC

Richmond, VA | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:18d238fd-013a-db0a-7346-7a7486c5b255

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: DAKOTA WEALTH, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 10, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 10, 2007
First registration: Mar 16, 2009
Dual registered: no
Other names: BRODERICK MULLINS
IAPD individual key: 4526562

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
DAKOTA WEALTH, LLC	Independent wealth	Aug 16, 2023	n/a	yes	PALM BEACH GARDENS, FL\|Richmond, VA	Current employment
COVENANT WEALTH ADVISORS	Independent wealth	Dec 8, 2020	Jul 31, 2023	no	RICHMOND, VA\|Richmond, VA	Previous registration
THOMPSON SIEGEL & WALMSLEY LLC	Asset manager	Aug 15, 2016	Oct 4, 2019	no	RICHMOND, VA\|RICHMOND, VA	Previous registration
DAVENPORT & COMPANY LLC	Bd affiliated wealth	Apr 1, 2011	Jul 11, 2016	no	RICHMOND, VA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Mar 16, 2009	Mar 30, 2011	no	RICHMOND, VA\|RICHMOND, VA\|RICHMOND, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COVENANT WEALTH ADVISORS	DAKOTA WEALTH, LLC	Jul 31, 2023	Aug 16, 2023	16	Firm change	RIA to RIA
THOMPSON SIEGEL & WALMSLEY LLC	COVENANT WEALTH ADVISORS	Oct 4, 2019	Dec 8, 2020	431	Firm change after gap	Other
DAVENPORT & COMPANY LLC	THOMPSON SIEGEL & WALMSLEY LLC	Jul 11, 2016	Aug 15, 2016	35	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	DAVENPORT & COMPANY LLC	Mar 30, 2011	Apr 1, 2011	2	Firm change	Other

Relationships

Registered with (5)

→ DAKOTA WEALTH, LLCRegistered adviserregistration: current employment
Aug 16, 2023 to presentfactForm ADV
→ COVENANT WEALTH ADVISORSRegistered adviserregistration: previous registration
Dec 8, 2020 to Jul 31, 2023factForm ADV
→ THOMPSON SIEGEL & WALMSLEY LLCRegistered adviserregistration: previous registration
Aug 15, 2016 to Oct 4, 2019factForm ADV
→ DAVENPORT & COMPANY LLCRegistered adviserregistration: previous registration
Apr 1, 2011 to Jul 11, 2016factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 16, 2009 to Mar 30, 2011factForm ADV

Dated events

Occurred
Jul 31, 2023
Advisor changed firm
Thomas Broderick Mullins left Covenant Wealth Advisors for Dakota Wealth, Llc (registered 2023-08-16)
Form ADVobserved 5 days ago