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 E Hicks
Feed of 09/15/2026
Also filed as Buddy Hicks
At current firm
4 y
since Apr 26, 2022
In the industry
21 y
since Jul 13, 2005 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Brookstone Wealth Advisors, LLC no RAUM currentsince Apr 26, 2022 · Rolesville, Nc
- Southport Capital formerDec 18, 2020 to Mar 2, 2022 · Atlanta, Ga
- Securian Financial Services, Inc. formerAug 20, 2015 to Nov 13, 2020 · Birmingham, Al
- Sagepoint Financial, Inc. formerMar 20, 2015 to Aug 12, 2015 · Montgomery, Al
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJan 7, 2014 to Mar 9, 2015 · Montgomery, Al
Moves
a registration end followed by a registration begin elsewhere
- Southport Capital to Brookstone Wealth Advisors, LLCleft Mar 2, 2022, registered Apr 26, 2022 (55 days) · RIA to RIA
- Securian Financial Services, Inc. to Southport Capitalleft Nov 13, 2020, registered Dec 18, 2020 (35 days) · Affiliated broker-dealer or bank to independent RIA
- Sagepoint Financial, Inc. to Securian Financial Services, Inc.left Aug 12, 2015, registered Aug 20, 2015 (8 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Sagepoint Financial, Inc.left Mar 9, 2015, registered Mar 20, 2015 (11 days) · Other
Signals
- Frank E Hicks left Southport Capital for Brookstone Wealth Advisors, Llc (registered 2022-04-26)Mar 2, 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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address