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
Thomas Broderick Mullins
Feed of 09/15/2026
Also filed as Broderick Mullins
At current firm
3 y
since Aug 16, 2023
In the industry
19 y
since May 10, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Dakota Wealth, LLC independent RIA currentsince Aug 16, 2023 · Palm Beach Gardens, Fl
- Covenant Wealth Advisors independent RIADec 8, 2020 to Jul 31, 2023 · Richmond, Va
- Thompson Siegel & Walmsley LLC asset managerAug 15, 2016 to Oct 4, 2019 · Richmond, Va
- Davenport & Company LLC BD affiliatedApr 1, 2011 to Jul 11, 2016 · Richmond, Va
- Suntrust Investment Services, Inc. formerMar 16, 2009 to Mar 30, 2011 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- Covenant Wealth Advisors to Dakota Wealth, LLCleft Jul 31, 2023, registered Aug 16, 2023 (16 days) · RIA to RIA
- Thompson Siegel & Walmsley LLC to Covenant Wealth Advisorsleft Oct 4, 2019, registered Dec 8, 2020 (431 days) · Other
- Davenport & Company LLC to Thompson Siegel & Walmsley LLCleft Jul 11, 2016, registered Aug 15, 2016 (35 days) · Other
- Suntrust Investment Services, Inc. to Davenport & Company LLCleft Mar 30, 2011, registered Apr 1, 2011 (2 days) · Other
Signals
- Thomas Broderick Mullins left Covenant Wealth Advisors for Dakota Wealth, Llc (registered 2023-08-16)Jul 31, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address