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
Bradley Ross Thompson
Feed of 09/14/2026
At current firm
0 y
since Apr 21, 2026
In the industry
27 y
since Jun 30, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Apr 21, 2026 · Windsor, Co
- Kovack Advisors, Inc. BD affiliatedMay 31, 2016 to Apr 23, 2026 · Fort Collins, Co
- LPL Financial LLC BD affiliatedDec 16, 2009 to Jun 14, 2016 · Ft Collins, Co
- Cetera Investment Services LLC formerJul 31, 2002 to Dec 16, 2009 · Fort Collins, Co
- Wells Fargo Investments, LLC unclassifiedApr 6, 2001 to Sep 4, 2002 · Fort Collins, Co
Moves
a registration end followed by a registration begin elsewhere
- Kovack Advisors, Inc. to Osaic Wealth, Inc.left Apr 23, 2026, registered Apr 21, 2026 (-2 days) · Affiliated broker-dealer or bank to another
- LPL Financial LLC to Kovack Advisors, Inc.left Jun 14, 2016, registered May 31, 2016 (-14 days) · Other
- Cetera Investment Services LLC to LPL Financial LLCleft Dec 16, 2009, registered Dec 16, 2009 (0 days) · Other
- Wells Fargo Investments, LLC to Cetera Investment Services LLCleft Sep 4, 2002, registered Jul 31, 2002 (-35 days) · Other
Signals
- Bradley Ross Thompson left Kovack Advisors, Inc. for Osaic Wealth, Inc. (registered 2026-04-21)Apr 23, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address