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
Nga Le Brown
Feed of 09/14/2026
Also filed as Nga Ngoc Le
At current firm
3 y
since Sep 8, 2023
In the industry
10 y
since Nov 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Geneos Wealth Management, Inc. BD affiliated currentsince Sep 8, 2023 · Morrisville, Nc
- Commonwealth Financial Network national BDFeb 28, 2019 to Sep 1, 2023 · Morrisville, Nc
- J. W. Cole Advisors, Inc. BD affiliatedJan 16, 2019 to Mar 22, 2019 · Morrisville, Nc
- Cambridge Investment Research Advisors, Inc. BD affiliatedJul 3, 2018 to Jan 16, 2019 · Morrisville, Nc
Moves
a registration end followed by a registration begin elsewhere
- Commonwealth Financial Network to Geneos Wealth Management, Inc.left Sep 1, 2023, registered Sep 8, 2023 (7 days) · Affiliated broker-dealer or bank to another
- J. W. Cole Advisors, Inc. to Commonwealth Financial Networkleft Mar 22, 2019, registered Feb 28, 2019 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Cambridge Investment Research Advisors, Inc. to J. W. Cole Advisors, Inc.left Jan 16, 2019, registered Jan 16, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Signals
- Nga Le Brown left Commonwealth Financial Network for Geneos Wealth Management, Inc. (registered 2023-09-08)Sep 1, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address