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Advisor at BROOKWOOD INVESTMENT GROUP
PHOENIX, AZ | MANCHESTER, MD
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| BROOKWOOD INVESTMENT GROUP | Independent wealth | Oct 23, 2025 | n/a | yes | MANCHESTER, MD|PHOENIX, AZ | Current employment |
| REDWOOD PRIVATE WEALTH | Former SEC adviser | Jun 28, 2021 | Mar 31, 2025 | no | WESTMINSTER, MD|PHOENIX, AZ | Previous registration |
| SERA CAPITAL MANAGEMENT, LLC | Independent wealth | Dec 15, 2016 | Jul 14, 2021 | no | WESTMINSTER, MD|ANNAPOLIS, MD|WESTMINSTER, MD | Previous registration |
| H. BECK, INC. | Former SEC adviser | Jul 19, 2012 | Dec 15, 2016 | no | Rockville, MD|WESTMINSTER, MD | Previous registration |
| CHAPIN DAVIS ASSET MANAGEMENT | Independent wealth | Oct 12, 2011 | Jun 18, 2012 | no | BALTIMORE, MD | Previous registration |
| STRATEGIC ASSET MANAGEMENT, LTD. | n/a | Apr 12, 2005 | Dec 22, 2010 | no | WESTMINSTER, MD | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | n/a | Jul 29, 1997 | Dec 31, 2005 | no | WESTMINSTER, MD|TOWSON, MD|WESTMINSTER, MD | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| REDWOOD PRIVATE WEALTH | BROOKWOOD INVESTMENT GROUP | Mar 31, 2025 | Oct 23, 2025 | 206 | Bulk transfer | RIA to RIA |
| SERA CAPITAL MANAGEMENT, LLC | REDWOOD PRIVATE WEALTH | Jul 14, 2021 | Jun 28, 2021 | -16 | Firm change | RIA to new firm |
| H. BECK, INC. | SERA CAPITAL MANAGEMENT, LLC | Dec 15, 2016 | Dec 15, 2016 | 0 | Firm change | Other |
| CHAPIN DAVIS ASSET MANAGEMENT | H. BECK, INC. | Jun 18, 2012 | Jul 19, 2012 | 31 | Firm change | Other |
| STRATEGIC ASSET MANAGEMENT, LTD. | CHAPIN DAVIS ASSET MANAGEMENT | Dec 22, 2010 | Oct 12, 2011 | 294 | Firm change | Other |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | STRATEGIC ASSET MANAGEMENT, LTD. | Dec 31, 2005 | Apr 12, 2005 | -263 | Firm change after gap | Other |