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
William Henry Brockman
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Rock Brockman
At current firm
6 y
since Dec 10, 2019
In the industry
43 y
since Aug 12, 1983 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Hornor, Townsend & Kent, LLC independent RIA currentsince Dec 10, 2019 · University Park, Md
- MML Investors Services, LLC BD affiliatedMar 25, 2017 to Dec 12, 2019 · Rockville, Md
- Msi Financial Services, Inc. formerJan 2, 2015 to Mar 25, 2017 · Rockville, Md
- New England Securities Corporation formerJun 22, 2001 to Jan 2, 2015 · Rockville, Md
Moves
a registration end followed by a registration begin elsewhere
- MML Investors Services, LLC to Hornor, Townsend & Kent, LLCleft Dec 12, 2019, registered Dec 10, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- Msi Financial Services, Inc. to MML Investors Services, LLCleft Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- New England Securities Corporation to Msi Financial Services, Inc.left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address