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
Brock Adams
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as Brock Thomas Adams
At current firm
1 y
since Nov 29, 2024
In the industry
12 y
since Aug 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Symmetry Partners independent RIA currentsince Nov 29, 2024 · Kaysville, Ut
- Morgan Stanley wirehouseJul 11, 2022 to Aug 15, 2024 · Provo, Ut
- Cuso Financial Services, L.P. formerJan 3, 2020 to Aug 31, 2020 · San Diego, Ca
- B.O.S.S. Retirement Advisors, LLC independent RIAJan 11, 2019 to Dec 3, 2019 · Bountiful, Ut
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 15, 2017 to Jan 7, 2019 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Symmetry Partnersleft Aug 15, 2024, registered Nov 29, 2024 (106 days) · Wirehouse to independent RIA
- Cuso Financial Services, L.P. to Morgan Stanleyleft Aug 31, 2020, registered Jul 11, 2022 (679 days) · Affiliated broker-dealer or bank to wirehouse
- B.O.S.S. Retirement Advisors, LLC to Cuso Financial Services, L.P.left Dec 3, 2019, registered Jan 3, 2020 (31 days) · RIA to affiliated broker-dealer or bank
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to B.O.S.S. Retirement Advisors, LLCleft Jan 7, 2019, registered Jan 11, 2019 (4 days) · Wirehouse to independent RIA
Signals
- Brock Adams left Morgan Stanley for Symmetry Partners (registered 2024-11-29)Aug 15, 2024 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address