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
Curtis Randall Brooks
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Curt Brooks
At current firm
9 y
since Apr 10, 2017
In the industry
41 y
since Feb 13, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- 5c Capital Management, LLC independent RIA currentsince Apr 10, 2017 · Woodcliff Lake, Nj
- Usaa Financial Planning Services formerSep 30, 2011 to Sep 9, 2016 · New York, Ny
- Gerstein Fisher formerOct 28, 2009 to Sep 20, 2011 · New York, Ny
- First Allied Securities, Inc. formerAug 10, 2007 to Oct 22, 2009 · San Diego, Ca
- Wealth Partners Advisors LLC unclassifiedJan 16, 2003 to Oct 28, 2009 · Mountainside, Nj
Moves
a registration end followed by a registration begin elsewhere
- Usaa Financial Planning Services to 5c Capital Management, LLCleft Sep 9, 2016, registered Apr 10, 2017 (213 days) · Other
- Gerstein Fisher to Usaa Financial Planning Servicesleft Sep 20, 2011, registered Sep 30, 2011 (10 days) · Other
- Wealth Partners Advisors LLC to First Allied Securities, Inc.left Oct 28, 2009, registered Aug 10, 2007 (-810 days) · Other
- First Allied Securities, Inc. to Gerstein Fisherleft Oct 22, 2009, registered Oct 28, 2009 (6 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
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address