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
Brian Wayne Appel
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
At current firm
4 y
since Jun 6, 2022
In the industry
31 y
since May 12, 1995 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Lido independent RIA currentsince Jun 6, 2022 · Los Angeles, Ca
- Charles Schwab & Co., Inc. national BDMay 10, 2019 to Aug 3, 2021 · Red Bank, Nj
- Fidelity Personal And Workplace Advisors formerJul 13, 2018 to Feb 7, 2019 · Boston, Ma
- Strategic Advisers LLC national BDAug 17, 2012 to Jul 13, 2018 · Shrewsbury, Nj
- Garden State Investment Advisory Services, LLC independent RIAJan 10, 2012 to Jul 18, 2012 · Red Bank, Nj
- First Allied Securities, Inc. formerAug 24, 2011 to Dec 31, 2011 · San Diego, Ca
- Equitable Advisors, LLC national BDOct 27, 2008 to Sep 12, 2011 · New York, Ny
- International Planning Alliance, LLC unclassifiedFeb 23, 2004 to Mar 24, 2005 · South Plainfield, Nj
Moves
a registration end followed by a registration begin elsewhere
- Charles Schwab & Co., Inc. to Lidoleft Aug 3, 2021, registered Jun 6, 2022 (307 days) · Affiliated broker-dealer or bank to independent RIA
- Fidelity Personal And Workplace Advisors to Charles Schwab & Co., Inc.left Feb 7, 2019, registered May 10, 2019 (92 days) · Affiliated broker-dealer or bank to another · moved with a team
- Strategic Advisers LLC to Fidelity Personal And Workplace Advisorsleft Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- Garden State Investment Advisory Services, LLC to Strategic Advisers LLCleft Jul 18, 2012, registered Aug 17, 2012 (30 days) · Other
- First Allied Securities, Inc. to Garden State Investment Advisory Services, LLCleft Dec 31, 2011, registered Jan 10, 2012 (10 days) · Other
- Equitable Advisors, LLC to First Allied Securities, Inc.left Sep 12, 2011, registered Aug 24, 2011 (-19 days) · Other
- International Planning Alliance, LLC to Equitable Advisors, LLCleft Mar 24, 2005, registered Oct 27, 2008 (1313 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address