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
Kevin Francis Hughes
Feed of 09/14/2026
Also filed as Kevin Francis (Jr) Hughes
At current firm
1 y
since Jan 1, 2025
In the industry
43 y
since Dec 22, 1982 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- Emerson Equity LLC BD affiliated currentsince Jan 1, 2025 · Irvine, Ca
- Westpark Capital, Inc. independent RIAMay 24, 2018 to Mar 21, 2019 · Irvine, Ca
- Independent Financial Group, LLC BD affiliatedSep 28, 2017 to May 21, 2018 · San Diego, Ca
- Probabilities Fund Management, LLC formerAug 22, 2016 to Jun 12, 2017 · San Diego, Ca
- UBS Financial Services Inc. wirehouseJan 11, 2010 to Apr 21, 2015 · La Jolla, Ca
- Wells Fargo Investments, LLC unclassifiedDec 8, 2003 to Jan 20, 2010 · San Diego, Ca
- Morgan Stanley Dw Inc. unclassifiedNov 23, 1999 to Nov 25, 2003 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- Westpark Capital, Inc. to Emerson Equity LLCleft Mar 21, 2019, registered Jan 1, 2025 (2113 days) · RIA to affiliated broker-dealer or bank
- Independent Financial Group, LLC to Westpark Capital, Inc.left May 21, 2018, registered May 24, 2018 (3 days) · Affiliated broker-dealer or bank to independent RIA
- Probabilities Fund Management, LLC to Independent Financial Group, LLCleft Jun 12, 2017, registered Sep 28, 2017 (108 days) · Other
- UBS Financial Services Inc. to Probabilities Fund Management, LLCleft Apr 21, 2015, registered Aug 22, 2016 (489 days) · Other
- Wells Fargo Investments, LLC to UBS Financial Services Inc.left Jan 20, 2010, registered Jan 11, 2010 (-9 days) · Other
- Morgan Stanley Dw Inc. to Wells Fargo Investments, LLCleft Nov 25, 2003, registered Dec 8, 2003 (13 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address