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
Frank Michael Brown
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
1 y
since Jul 10, 2025
In the industry
39 y
since Dec 9, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jul 10, 2025 · Glendale, Az
- Cadaret Grant & Co Inc formerDec 11, 2023 to Jul 10, 2025 · Syracuse, Ny
- Woodbury Financial Services, Inc. formerOct 13, 2017 to Dec 13, 2023 · Scottsdale, Az
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerJan 23, 2009 to Oct 18, 2017 · Glendale, Az
- Sagepoint Financial, Inc. formerNov 10, 2005 to Jan 23, 2009 · Glendale, Az
Moves
a registration end followed by a registration begin elsewhere
- Cadaret Grant & Co Inc to LPL Financial LLCleft Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- Woodbury Financial Services, Inc. to Cadaret Grant & Co Incleft Dec 13, 2023, registered Dec 11, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Woodbury Financial Services, Inc.left Oct 18, 2017, registered Oct 13, 2017 (-5 days) · Other · moved with a team
- Sagepoint Financial, Inc. to National Planning Corporation ("Npc Of America" In Fl & Ny)left Jan 23, 2009, registered Jan 23, 2009 (0 days) · Other
Signals
- Frank Michael Brown left Woodbury Financial Services, Inc. for Cadaret Grant & Co Inc (registered 2023-12-11)Dec 13, 2023 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address