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

Geoffrey Brown

LPL Financial LLCBD affiliatedGlen Allen, Va dual registrantIAPD 1963751

Feed of 09/14/2026

At current firm

2 y

since Jun 18, 2024

In the industry

33 y

since Jun 30, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jun 18, 2024 · Winston Salem, Nc
Stifel, Nicolaus & Company, Incorporated national BD
Mar 16, 2018 to Jul 5, 2024 · Richmond, Va
B. C. Ziegler And Company former
Feb 20, 2014 to Mar 16, 2018 · Richmond, Va
Morgan Stanley wirehouse
Jun 1, 2009 to Feb 26, 2014 · Richmond, Va
Morgan Stanley & Co. LLC unclassified
Apr 2, 2007 to Jun 1, 2009 · Richmond, Va
Morgan Stanley Dw Inc. unclassified
Mar 1, 2001 to Apr 2, 2007 · Richmond, Va

Moves

a registration end followed by a registration begin elsewhere

Stifel, Nicolaus & Company, Incorporated to LPL Financial LLC
left Jul 5, 2024, registered Jun 18, 2024 (-17 days) · Affiliated broker-dealer or bank to another
B. C. Ziegler And Company to Stifel, Nicolaus & Company, Incorporated
left Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, not a move
Morgan Stanley to B. C. Ziegler And Company
left Feb 26, 2014, registered Feb 20, 2014 (-6 days) · Other
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLC
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

Geoffrey Brown left Stifel, Nicolaus & Company, Incorporated for Lpl Financial Llc (registered 2024-06-18)
Jul 5, 2024 · 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address