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
Alan Earl Brookshire
Feed of 09/14/2026
At current firm
6 y
since Oct 18, 2019
In the industry
31 y
since Feb 17, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
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
- Robert W. Baird & Co. Incorporated mixed wealth currentsince Oct 18, 2019 · Asheville, Nc
- J.J.B. Hilliard, W.L. Lyons, LLC formerMay 27, 2018 to Oct 18, 2019 · Asheville, Nc
- Oppenheimer & Co. Inc. BD affiliatedMar 17, 2009 to May 30, 2018 · Asheville, Nc
- Stanford Group Company unclassifiedNov 7, 2008 to Mar 16, 2009 · Asheville, Nc
- UBS Financial Services Inc. wirehouseNov 8, 2002 to Nov 14, 2008 · Asheville, Nc
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 14, 2000 to Nov 12, 2002 · Winston-Salem, Nc
Moves
a registration end followed by a registration begin elsewhere
- J.J.B. Hilliard, W.L. Lyons, LLC to Robert W. Baird & Co. Incorporatedleft Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
- Oppenheimer & Co. Inc. to J.J.B. Hilliard, W.L. Lyons, LLCleft May 30, 2018, registered May 27, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Stanford Group Company to Oppenheimer & Co. Inc.left Mar 16, 2009, registered Mar 17, 2009 (1 days) · Other
- UBS Financial Services Inc. to Stanford Group Companyleft Nov 14, 2008, registered Nov 7, 2008 (-7 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.left Nov 12, 2002, registered Nov 8, 2002 (-4 days) · Wirehouse to wirehouse
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address