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.
Feed of 09/14/2026
Also filed as Brad Dillon
At current firm
12 y
since Oct 9, 2013
In the industry
28 y
since Apr 3, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
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
- Cwm, LLC BD affiliated currentsince Oct 9, 2013 · San Rafael, Ca
- Dillon Wealth Management unclassifiedJul 22, 2013 to Sep 3, 2013 · Vincennes, In
- LPL Financial LLC BD affiliatedJan 19, 2007 to Feb 21, 2014 · Lawrenceville, Il
- Wells Fargo Advisors wirehouseJul 1, 2003 to Jan 22, 2007 · Evansville, In
- Prudential Equity Group, LLC unclassifiedMay 17, 2000 to Jul 1, 2003 · Evansville, In
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Dillon Wealth Managementleft Feb 21, 2014, registered Jul 22, 2013 (-214 days) · Other
- Dillon Wealth Management to Cwm, LLCleft Sep 3, 2013, registered Oct 9, 2013 (36 days) · Other
- Wells Fargo Advisors to LPL Financial LLCleft Jan 22, 2007, registered Jan 19, 2007 (-3 days) · Other
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address