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
Marina B Peacock
Feed of 09/15/2026
Also filed as Marina B Bolte
At current firm
4 y
since Jan 6, 2022
In the industry
13 y
since Oct 12, 2012 (earliest exam, job or registration)
Prior registered firms
5
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
- Regal Investment Advisors LLC BD affiliated currentsince Jan 6, 2022 · Marengo, Il
- Morgan Stanley wirehouseFeb 23, 2021 to Dec 13, 2021 · Rockford, Il
- Bates Financial Advisors, Inc. independent RIAFeb 26, 2019 to Feb 5, 2021 · Rockford, Il
- Robert W. Baird & Co. Incorporated mixed wealthSep 26, 2016 to Feb 5, 2019 · Rockford, Il
- Bates Financial Advisors, Inc. independent RIAMay 14, 2014 to Sep 23, 2016 · Rockford, Il
- Edward Jones national BDOct 15, 2012 to Nov 20, 2012 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Regal Investment Advisors LLCleft Dec 13, 2021, registered Jan 6, 2022 (24 days) · Wirehouse to affiliated broker-dealer or bank
- Bates Financial Advisors, Inc. to Morgan Stanleyleft Feb 5, 2021, registered Feb 23, 2021 (18 days) · RIA to wirehouse
- Robert W. Baird & Co. Incorporated to Bates Financial Advisors, Inc.left Feb 5, 2019, registered Feb 26, 2019 (21 days) · RIA to RIA
- Bates Financial Advisors, Inc. to Robert W. Baird & Co. Incorporatedleft Sep 23, 2016, registered Sep 26, 2016 (3 days) · Other
- Edward Jones to Bates Financial Advisors, Inc.left Nov 20, 2012, registered May 14, 2014 (540 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address