DFX Intelligence

Data Factory

The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

MORGAN KEEGAN & COMPANY, LLC

CRD 4161

MEMPHIS, TN

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:a2d1bc00-72ba-d3ec-a8f2-21b19cbb0a72

Data as of Sep 17, 2013 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1,393
Dated events: 1
On other graphs: 2
Observed: Mar 30, 2012 to Sep 17, 2013
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Morgan Keegan & Company, Inc.

Intermediary · shared crd

Venture Capitalidentity

Morgan Keegan and Company

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $10BItem 5.F on the latest filing (2013-09-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.9B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2,099
Advisory employees: 1,181
Accounts: 37,166
Custody, client assets: $9.9B
SEC number: 801-19665
CRD: 4161
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Sep 17, 2013
Organised: Limited Liability Company, Tennessee

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BAIRD, ROBERT ATKINSON IV	PRESIDENT - INVESTMENT BANKING	NA	yes	04/2008	Mar 30, 2012	Sep 17, 2013
BEAUPREZ, JACQUELINE ANN	CHIEF COMPLIANCE OFFICER / BROKER DEALER	NA	yes	07/2013	Jul 16, 2013	Sep 17, 2013
CARSON, JOHN CONGLETON JR	CEO	NA	yes	04/2008	Mar 30, 2012	Sep 17, 2013
FERGUSON, RICHARD SIDNEY	PRESIDENT - PRIVATE CLIENT GROUP	NA	yes	01/2010	Mar 30, 2012	Sep 17, 2013
MAXWELL, CHARLES DARRYL	CHIEF FINANCIAL OFFICER	NA	yes	07/2006	Mar 30, 2012	Sep 17, 2013
NICKS, BRENT PATRICK	CHIEF COMPLIANCE OFFICER / IA AFFILIATE	NA	yes	07/2013	Jul 16, 2013	Sep 17, 2013
RAYMOND JAMES FINANCIAL, INC.	PARENT	E	yes	04/2012	Apr 27, 2012	Sep 17, 2013
BARKLEY, JOSEPH CLARENCE	OPERATIONS MANAGER - MANAGING DIRECTOR	NA	no	01/1986	Mar 30, 2012	Sep 17, 2013
GIDDIS, KEVIN HOWARD	PRESIDENT - FIXED INCOME CAPITAL MARKETS	NA	no	01/2011	Mar 30, 2012	Sep 17, 2013
MATECKI, PAUL LOUIS	GENERAL COUNSEL	NA	no	10/2012	Nov 26, 2012	Sep 17, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
RAYMOND JAMES & ASSOCIATES, INC.	n/a	NATIONAL BD RIA	$501B	N	yes	n/a
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	n/a	BD AFFILIATED WEALTH	$390B	N	yes	n/a
EAGLE ASSET MANAGEMENT INC	n/a	MIXED WEALTH	$61B	N	yes	n/a
EAGLE BOSTON INVESTMENT MANAGMENT, INC.	n/a	FORMER SEC ADVISER	$1.0B	Y	yes	n/a
MORGAN KEEGAN FUND MANAGEMENT, INC.	n/a	FORMER SEC ADVISER	$0	N	yes	TN
RAYMOND JAMES BANK, N.A.	n/a	n/a	n/a	N	yes	n/a
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
RAYMOND JAMES LIMITED	n/a	n/a	n/a	N	yes	n/a
RAYMOND JAMES TRUST, N.A.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
BIRMINGHAM	AL	United States	n/a	no
ATLANTA	GA	United States	n/a	no
ATLANTA	GA	United States	n/a	no
MEMPHIS	TN	United States	n/a	no
NASHVILLE	TN	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Dec 21, 2012	$10B	$4.9B	2,099	1,181	n/a	n/a	n/a
2011	Mar 30, 2012	$9.7B	$4.8B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$10B	$9.7B	3.8%	n/a	n/a	2,099	n/a	n/a	n/a

Relationships

showing 80 of 1,393

Affiliated with (6)

→ EAGLE BOSTON INVESTMENT MANAGMENT, INC.Registered adviserother investment adviser, control, common control
factsec_form_adv_history
→ EAGLE ASSET MANAGEMENT INCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ MORGAN KEEGAN FUND MANAGEMENT, INC.Registered adviserother investment adviser, custodian, common control
factsec_form_adv_history
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserother investment adviser, common control
factsec_form_adv_history
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
← MORGAN KEEGAN FUND MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history

Owns (3)

← MATECKI, PAUL LOUISOwnerGENERAL COUNSEL, ownership code NA, individual
Nov 26, 2012 to presentfactsec_form_adv_history
← GIDDIS, KEVIN HOWARDOwnerPRESIDENT - FIXED INCOME CAPITAL MARKETS, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← BARKLEY, JOSEPH CLARENCEOwnerOPERATIONS MANAGER - MANAGING DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history

Controls (7)

← CARSON, JOHN CONGLETON JROwnerCEO, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← MAXWELL, CHARLES DARRYLOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← FERGUSON, RICHARD SIDNEYOwnerPRESIDENT - PRIVATE CLIENT GROUP, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← NICKS, BRENT PATRICKOwnerCHIEF COMPLIANCE OFFICER / IA AFFILIATE, ownership code NA, individual
Jul 16, 2013 to presentfactsec_form_adv_history
← BEAUPREZ, JACQUELINE ANNOwnerCHIEF COMPLIANCE OFFICER / BROKER DEALER, ownership code NA, individual
Jul 16, 2013 to presentfactsec_form_adv_history
← BAIRD, ROBERT ATKINSON IVOwnerPRESIDENT - INVESTMENT BANKING, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← RAYMOND JAMES FINANCIAL, INC.OwnerPARENT, ownership code E, domestic entity
Apr 27, 2012 to presentfactsec_form_adv_history

Registered with (64)

← BRENT PATRICK NICKSAdvisorregistration: previous registration
Mar 3, 2008 to Oct 29, 2013factiapd_individual_feed
← RICHARD SIDNEY FERGUSONAdvisorregistration: previous registration
Jan 27, 2003 to Oct 11, 2013factiapd_individual_feed
← GAVIN MICHAEL MURREYAdvisorregistration: previous registration
Jan 28, 2004 to Oct 11, 2013factiapd_individual_feed
← THOMAS JOSEPH SAVOIEAdvisorregistration: previous registration
Feb 11, 2005 to Mar 18, 2013factiapd_individual_feed
← ROY SCOTT SACHSAdvisorregistration: previous registration
Jan 2, 2013 to Mar 18, 2013factiapd_individual_feed
← ROBERT CARL BURNSAdvisorregistration: previous registration
Nov 27, 2007 to Mar 18, 2013factiapd_individual_feed
← ALBERT NICHOLAS GOETZEAdvisorregistration: previous registration
Jan 9, 2004 to Mar 18, 2013factiapd_individual_feed
← CHRISTOPHER GLYNN YARBROUGHAdvisorregistration: previous registration
Mar 13, 2009 to Mar 18, 2013factiapd_individual_feed
← DEANNA NICOLE MUSSOAdvisorregistration: previous registration
Mar 17, 2004 to Mar 15, 2013factiapd_individual_feed
← EDWARD CARL KRAUSNICKAdvisorregistration: previous registration
Sep 18, 1985 to Mar 14, 2013factiapd_individual_feed
← DONNA JEAN SIMMONSAdvisorregistration: previous registration
Oct 23, 2012 to Mar 14, 2013factiapd_individual_feed
← JAMES KING OWENSAdvisorregistration: previous registration
Nov 23, 1999 to Mar 14, 2013factiapd_individual_feed
← LEE JACKSON POWELLAdvisorregistration: previous registration
Jan 14, 1993 to Mar 14, 2013factiapd_individual_feed
← NOREEN M MCCLUREAdvisorregistration: previous registration
Oct 23, 2012 to Mar 14, 2013factiapd_individual_feed
← TIMOTHY LEE VANSOLKEMAAdvisorregistration: previous registration
Jan 12, 2005 to Mar 14, 2013factiapd_individual_feed
← CYNTHIA LOUISE LUEPKEAdvisorregistration: previous registration
Aug 21, 2012 to Mar 14, 2013factiapd_individual_feed
← STEPHEN PALMER ROSENAdvisorregistration: previous registration
Jan 9, 2004 to Mar 14, 2013factiapd_individual_feed
← PAUL SCOTT RITTELMEYERAdvisorregistration: previous registration
Jul 13, 2001 to Mar 14, 2013factiapd_individual_feed
← PAUL RUSTY LANIERAdvisorregistration: previous registration
Feb 13, 2003 to Mar 14, 2013factiapd_individual_feed
← HAROLD WILLIAM LYNDEAdvisorregistration: previous registration
Oct 1, 1998 to Mar 14, 2013factiapd_individual_feed
← ANTHONY SCOTT ROWLANDAdvisorregistration: previous registration
Jun 26, 2012 to Mar 14, 2013factiapd_individual_feed
← DAVID SHANE ROBERTSONAdvisorregistration: previous registration
Feb 13, 2009 to Mar 14, 2013factiapd_individual_feed
← MICHAEL HARRY O'MEARAAdvisorregistration: previous registration
Aug 21, 2012 to Mar 14, 2013factiapd_individual_feed
← SHAWN JOSEPH BARKOAdvisorregistration: previous registration
Nov 15, 2012 to Mar 14, 2013factiapd_individual_feed
← SALLY RAST RAMSEYAdvisorregistration: previous registration
Mar 18, 2004 to Mar 14, 2013factiapd_individual_feed
← MARTY CARLIS GREENAdvisorregistration: previous registration
Jan 9, 2004 to Mar 14, 2013factiapd_individual_feed
← AARON CLAY HICKMANAdvisorregistration: previous registration
Sep 28, 2005 to Mar 14, 2013factiapd_individual_feed
← KATHRYN LEIGHANN PERRYAdvisorregistration: previous registration
Feb 26, 2004 to Mar 14, 2013factiapd_individual_feed
← ROSA LARES SCHULTEAdvisorregistration: previous registration
Jul 11, 2003 to Mar 14, 2013factiapd_individual_feed
← ROGER COURTLAND WILLIAMSAdvisorregistration: previous registration
Apr 29, 2003 to Mar 14, 2013factiapd_individual_feed
and 34 more

Dated events

Occurred
Aug 23, 2013
Succession filed (Item 4)
Morgan Keegan & Company, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
sec_form_adv_historyobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a2d1bc00-72ba-d3ec-a8f2-21b19cbb0a72
First observed: Mar 30, 2012
Last observed: Sep 17, 2013 158 months ago
Sources: sec_form_adv_history, sec_adv_roster, iapd_firm_feed
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MORGAN KEEGAN & COMPANY, LLC

CRD 4161

MEMPHIS, TN

Data as of Sep 17, 2013 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BAIRD, ROBERT ATKINSON IV

PRESIDENT - INVESTMENT BANKING

yes

04/2008

Mar 30, 2012

Sep 17, 2013

BEAUPREZ, JACQUELINE ANN

CHIEF COMPLIANCE OFFICER / BROKER DEALER

yes

07/2013

Jul 16, 2013

Sep 17, 2013

CARSON, JOHN CONGLETON JR

CEO

yes

04/2008

Mar 30, 2012

Sep 17, 2013

FERGUSON, RICHARD SIDNEY

PRESIDENT - PRIVATE CLIENT GROUP

yes

01/2010

Mar 30, 2012

Sep 17, 2013

MAXWELL, CHARLES DARRYL

CHIEF FINANCIAL OFFICER

yes

07/2006

Mar 30, 2012

Sep 17, 2013

NICKS, BRENT PATRICK

CHIEF COMPLIANCE OFFICER / IA AFFILIATE

yes

07/2013

Jul 16, 2013

Sep 17, 2013

RAYMOND JAMES FINANCIAL, INC.

PARENT

yes

04/2012

Apr 27, 2012

Sep 17, 2013

BARKLEY, JOSEPH CLARENCE

OPERATIONS MANAGER - MANAGING DIRECTOR

01/1986

Mar 30, 2012

Sep 17, 2013

GIDDIS, KEVIN HOWARD

PRESIDENT - FIXED INCOME CAPITAL MARKETS

01/2011

Mar 30, 2012

Sep 17, 2013

MATECKI, PAUL LOUIS

GENERAL COUNSEL

10/2012

Nov 26, 2012

Sep 17, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

RAYMOND JAMES & ASSOCIATES, INC.

n/a

NATIONAL BD RIA

$501B

yes

n/a

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

n/a

BD AFFILIATED WEALTH

$390B

yes

n/a

EAGLE ASSET MANAGEMENT INC

n/a

MIXED WEALTH

$61B

yes

n/a

EAGLE BOSTON INVESTMENT MANAGMENT, INC.

n/a

FORMER SEC ADVISER

$1.0B

yes

n/a

MORGAN KEEGAN FUND MANAGEMENT, INC.

n/a

FORMER SEC ADVISER

yes

RAYMOND JAMES BANK, N.A.

n/a

yes

n/a

RAYMOND JAMES FINANCIAL SERVICES, INC.

n/a

yes

n/a

RAYMOND JAMES LIMITED

n/a

yes

n/a

RAYMOND JAMES TRUST, N.A.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

BIRMINGHAM

United States

n/a

ATLANTA

United States

n/a

ATLANTA

United States

n/a

MEMPHIS

United States

n/a

NASHVILLE

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Dec 21, 2012

$10B

$4.9B

2,099

1,181

n/a

2011

Mar 30, 2012

$9.7B

$4.8B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$10B

$9.7B

3.8%

n/a

2,099

n/a