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

Kevin Thomas Brock

Benjamin F. Edwards & Company, IncorporatedBD affiliatedClemson, Sc dual registrantIAPD 5295509

Certified Financial Planner

Feed of 09/14/2026

Also filed as Kevin Brock

At current firm

0 y

since Dec 4, 2025

In the industry

19 y

since Mar 29, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Benjamin F. Edwards & Company, Incorporated BD affiliated current
since Dec 4, 2025 · St. Louis, Mo
First Citizens Asset Management, Inc BD affiliated
Sep 6, 2017 to Dec 9, 2025 · Seneca, Sc
First Citizens Investor Services, Inc. BD affiliated
Sep 6, 2017 to Dec 9, 2025 · Raleigh, Nc
MML Investors Services, LLC BD affiliated
Mar 25, 2017 to Sep 5, 2017 · Anderson, Sc
Msi Financial Services, Inc. former
May 7, 2009 to Mar 25, 2017 · Shelby, Nc

Moves

a registration end followed by a registration begin elsewhere

First Citizens Asset Management, Inc to Benjamin F. Edwards & Company, Incorporated
left Dec 9, 2025, registered Dec 4, 2025 (-5 days) · RIA to affiliated broker-dealer or bank
First Citizens Investor Services, Inc. to First Citizens Asset Management, Inc
left Dec 9, 2025, registered Sep 6, 2017 (-3016 days) · Other
MML Investors Services, LLC to First Citizens Investor Services, Inc.
left Sep 5, 2017, registered Sep 6, 2017 (1 days) · Other
Msi Financial Services, Inc. to MML Investors Services, LLC
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move

Signals

Kevin Thomas Brock left First Citizens Investor Services, Inc. for First Citizens Asset Management, Inc (registered 2017-09-06)
Dec 9, 2025 · Advisor changed firm · fact
Kevin Thomas Brock left First Citizens Asset Management, Inc for Benjamin F. Edwards & Company, Incorporated (registered 2025-12-04)
Dec 9, 2025 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address