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

Frank Charles Stama

Brookwood Investment Groupindependent RIAAmherst, Nh IA-onlyIAPD 4956271

Feed of 09/15/2026

Also filed as Frank Stama

At current firm

1 y

since May 7, 2025

In the industry

19 y

since Nov 1, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Brookwood Investment Group independent RIA current
since May 7, 2025 · Amherst, Nh
Redwood Private Wealth former
Aug 25, 2022 to Mar 31, 2025 · Bedford, Nh
Coppell Advisory Solutions LLC independent RIA
Nov 18, 2021 to Aug 11, 2022 · Bedford, Nh
Mkt Investments, LLC unclassified
Nov 13, 2018 to Oct 18, 2022 · Bedford, Nh
Northeastern Wealth Management, LLC unclassified
Apr 18, 2013 to Apr 24, 2019 · Middleton, Nh
Sii Investments, Inc. former
Apr 1, 2011 to Apr 24, 2013 · Bedford, Nh
Waddell & Reed former
Dec 12, 2007 to Apr 13, 2011 · Bedford, Nh
Park Avenue Securities LLC BD affiliated
Nov 9, 2006 to Dec 4, 2007 · Bedford, Nh

Moves

a registration end followed by a registration begin elsewhere

Redwood Private Wealth to Brookwood Investment Group
left Mar 31, 2025, registered May 7, 2025 (37 days) · corporate re-registration, not a move
Mkt Investments, LLC to Coppell Advisory Solutions LLC
left Oct 18, 2022, registered Nov 18, 2021 (-334 days) · Other
Coppell Advisory Solutions LLC to Redwood Private Wealth
left Aug 11, 2022, registered Aug 25, 2022 (14 days) · RIA to RIA
Northeastern Wealth Management, LLC to Mkt Investments, LLC
left Apr 24, 2019, registered Nov 13, 2018 (-162 days) · Other
Sii Investments, Inc. to Northeastern Wealth Management, LLC
left Apr 24, 2013, registered Apr 18, 2013 (-6 days) · Other
Waddell & Reed to Sii Investments, Inc.
left Apr 13, 2011, registered Apr 1, 2011 (-12 days) · Other
Park Avenue Securities LLC to Waddell & Reed
left Dec 4, 2007, registered Dec 12, 2007 (8 days) · Other

Signals

Frank Charles Stama left Mkt Investments, Llc for Coppell Advisory Solutions Llc (registered 2021-11-18)
Oct 18, 2022 · Advisor changed firm · fact
Frank Charles Stama left Coppell Advisory Solutions Llc for Redwood Private Wealth (registered 2022-08-25)
Aug 11, 2022 · 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