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
Paul Harris Brock
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
19 y
since Jul 27, 2007
In the industry
39 y
since Aug 15, 1987 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
2
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
- Northeast Planning Associates, Inc. independent RIA currentsince Jul 5, 2017 · Chandler, Az
- LPL Financial LLC BD affiliated currentsince Jul 27, 2007 · Chandler, Az
- Northeast Planning Associates, Inc. independent RIANov 9, 2015 to Nov 21, 2016 · Chandler, Az
- Northeast Planning Associates, Inc. independent RIAJul 28, 2004 to Dec 12, 2011 · Chandler, Az
- Mutual Service Corporation unclassifiedNov 19, 2003 to Sep 29, 2004 · Chandler, Az
- Veravest Investment Advisors, Inc. unclassifiedFeb 28, 1990 to Nov 13, 2003 · Portsmith, Nh
Moves
a registration end followed by a registration begin elsewhere
- Northeast Planning Associates, Inc. to LPL Financial LLCleft Dec 12, 2011, registered Jul 27, 2007 (-1599 days) · Other
- Mutual Service Corporation to Northeast Planning Associates, Inc.left Sep 29, 2004, registered Jul 28, 2004 (-63 days) · Other
- Veravest Investment Advisors, Inc. to Mutual Service Corporationleft Nov 13, 2003, registered Nov 19, 2003 (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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address