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
Mark Brown
Certified Financial Planner
Feed of 09/15/2026
At current firm
16 y
since May 14, 2010
In the industry
35 y
since Jul 5, 1991 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
5
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
- M.Brown Financial Advisors state registered currentsince Aug 5, 2021 · Naperville, Il
- Ausdal Financial Partners, Inc. independent RIA currentsince May 14, 2010 · Estero, Fl
- LPL Financial LLC BD affiliatedFeb 28, 2005 to May 18, 2010 · Naperville, Il
- Wells Fargo Advisors wirehouseMay 13, 2002 to Mar 2, 2005 · Plainfield, Il
- Herbst Financial Advisors, Inc. unclassifiedJun 10, 1998 to Dec 5, 2006 · Plainfield, Il
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Ausdal Financial Partners, Inc.left May 18, 2010, registered May 14, 2010 (-4 days) · Other
- Herbst Financial Advisors, Inc. to Wells Fargo Advisorsleft Dec 5, 2006, registered May 13, 2002 (-1667 days) · Other
- Wells Fargo Advisors to LPL Financial LLCleft Mar 2, 2005, registered Feb 28, 2005 (-2 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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address