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

Allen Paul Gardner Brown

LPL Financial LLCBD affiliatedFarmington, Utdual registrantIAPD 2541746
Feed of 09/17/2026
At current firm
0 y
since Sep 15, 2026
In the industry
33 y
since Jan 1, 1993 (earliest exam, job or registration)
Prior registered firms
2
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
5
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Allen Paul Gardner Brown added a UT registration at Lpl Financial Llc
    Sep 16, 2026 · New state registration · fact
  • Allen Paul Gardner Brown registered as an investment adviser representative at Lpl Financial Llc
    Sep 15, 2026 · Advisor registered · fact
  • Allen Paul Gardner Brown added a TX registration at Lpl Financial Llc
    Sep 15, 2026 · New state registration · fact
  • Allen Paul Gardner Brown no longer holds an investment adviser registration (last listed at Northwestern Mutual Investment Services,Llc on the 2026-09-14 feed)
    Sep 14, 2026 · Advisor registration ended · derived
  • Allen Paul Gardner Brown left Northwestern Mutual Investment Services,Llc for Northwestern Mutual Wealth Management Company (registered 2006-11-16)
    Sep 14, 2026 · 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