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.
Feed of 09/14/2026
Also filed as Kathy Ann Hartley
At current firm
2 y
since Nov 30, 2023
In the industry
40 y
since Aug 7, 1986 (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
S63, S66, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Stephens BD affiliated currentsince Nov 30, 2023 · Memphis, Tn
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 5, 2018 to Dec 1, 2023 · Ridgeland, Ms
- LPL Financial LLC BD affiliatedMay 1, 2007 to Nov 7, 2017 · Jackson, Ms
- Stanford Group Company unclassifiedJan 29, 2004 to Feb 20, 2007 · Memphis, Tn
- UBS Financial Services Inc. wirehouseJan 28, 2004 to Feb 3, 2004 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Stephensleft Dec 1, 2023, registered Nov 30, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- LPL Financial LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Nov 7, 2017, registered Mar 5, 2018 (118 days) · Other
- Stanford Group Company to LPL Financial LLCleft Feb 20, 2007, registered May 1, 2007 (70 days) · Other
- UBS Financial Services Inc. to Stanford Group Companyleft Feb 3, 2004, registered Jan 29, 2004 (-5 days) · Other
Signals
- Kathy Hartley Briner left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Stephens (registered 2023-11-30)Dec 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address