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
Brian Sullivan
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
0 y
since Aug 20, 2026
In the industry
43 y
since Dec 6, 1982 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Commonwealth Financial Network national BD currentsince Aug 20, 2026 · Waltham, Ma
- A. G. Edwards & Sons, Inc. unclassifiedFeb 24, 2006 to Aug 2, 2006 · Boston, Ma
- Banc Of America Investment Services, Inc. unclassifiedOct 20, 2004 to Feb 27, 2006 · Boston, Ma
- Quick & Reilly, Inc. unclassifiedApr 15, 2003 to Oct 20, 2004 · Boston, Ma
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 13, 2002 to Apr 28, 2003 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- A. G. Edwards & Sons, Inc. to Commonwealth Financial Networkleft Aug 2, 2006, registered Aug 20, 2026 (7323 days) · Other
- Banc Of America Investment Services, Inc. to A. G. Edwards & Sons, Inc.left Feb 27, 2006, registered Feb 24, 2006 (-3 days) · Other
- Quick & Reilly, Inc. to Banc Of America Investment Services, Inc.left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Quick & Reilly, Inc.left Apr 28, 2003, registered Apr 15, 2003 (-13 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address