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
Dane Michael Brockman
Certified Financial Planner
Feed of 09/14/2026
Also filed as Dane Brockman
At current firm
8 y
since Nov 17, 2017
In the industry
16 y
since Aug 26, 2010 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- The Wealth Consulting Group independent RIA currentsince Nov 17, 2017 · La Jolla, Ca
- 1st Global Advisors Inc formerMar 24, 2016 to Nov 20, 2017 · La Jolla, Ca
- Msi Financial Services, Inc. formerDec 14, 2015 to Mar 7, 2016 · San Diego, Ca
- U.S. Bancorp Advisors, LLC BD affiliatedJan 20, 2011 to Dec 17, 2015 · San Diego, Ca
- LPL Financial LLC BD affiliatedAug 30, 2010 to Dec 22, 2010 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- 1st Global Advisors Inc to The Wealth Consulting Groupleft Nov 20, 2017, registered Nov 17, 2017 (-3 days) · Other
- Msi Financial Services, Inc. to 1st Global Advisors Incleft Mar 7, 2016, registered Mar 24, 2016 (17 days) · Other
- U.S. Bancorp Advisors, LLC to Msi Financial Services, Inc.left Dec 17, 2015, registered Dec 14, 2015 (-3 days) · Other
- LPL Financial LLC to U.S. Bancorp Advisors, LLCleft Dec 22, 2010, registered Jan 20, 2011 (29 days) · Other
Signals
No dated event on this person.
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address