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RIA / WealthAdvisor17 years in industry

JOANNE FAY BROWN

Advisor at BROOKWOOD INVESTMENT GROUP

Forest City, IA | PHOENIX, AZ

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Search this name across graphsid dfx:ria:a25a9366-d752-c3fd-0eeb-ad5a79563ccd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2012 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: BROOKWOOD INVESTMENT GROUP
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: Oct 1, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 4, 2009
First registration: Jan 3, 2012
Dual registered: no
Other names: JOANNE FAY UGLEM|JOANNE BROWN
IAPD individual key: 5693827

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
BROOKWOOD INVESTMENT GROUP	Independent wealth	Apr 14, 2025	n/a	yes	PHOENIX, AZ\|Forest City, IA	Current employment
REDWOOD PRIVATE WEALTH	Former SEC adviser	Jul 12, 2021	Mar 31, 2025	no	FOREST CITY, IA\|PHOENIX, AZ	Previous registration
HORTER INVESTMENT MANAGEMENT, LLC	Independent wealth	Jun 1, 2015	Jul 16, 2021	no	FOREST CITY, IA\|CINCINNATI, OH\|Forest City, IA\|Forest City, IA	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Jan 3, 2012	Dec 31, 2013	no	CEDAR RAPIDS, IA\|WEBSTER CITY, IA\|FOREST CITY, IA	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
REDWOOD PRIVATE WEALTH	BROOKWOOD INVESTMENT GROUP	Mar 31, 2025	Apr 14, 2025	14	Bulk transfer	RIA to RIA
HORTER INVESTMENT MANAGEMENT, LLC	REDWOOD PRIVATE WEALTH	Jul 16, 2021	Jul 12, 2021	-4	Firm change	RIA to new firm
TRANSAMERICA FINANCIAL ADVISORS, LLC	HORTER INVESTMENT MANAGEMENT, LLC	Dec 31, 2013	Jun 1, 2015	517	Firm change after gap	Other

Relationships

Registered with (4)

→ BROOKWOOD INVESTMENT GROUPRegistered adviserregistration: current employment
Apr 14, 2025 to presentfactForm ADV
→ REDWOOD PRIVATE WEALTHRegistered adviserregistration: previous registration
Jul 12, 2021 to Mar 31, 2025factForm ADV
→ HORTER INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 1, 2015 to Jul 16, 2021factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 3, 2012 to Dec 31, 2013factForm ADV

Dated events

No dated event names this entity yet.