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
Gene Parvon Dickey
Feed of 09/14/2026
At current firm
3 y
since Mar 27, 2023
In the industry
39 y
since May 12, 1987 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- D.A. Davidson & Co. independent RIA currentsince Mar 27, 2023 · Austin, Tx
- Hilltop Securities Inc. BD affiliatedMay 10, 2013 to Apr 22, 2023 · Austin, Tx
- Raymond James & Associates, Inc. national BDFeb 13, 2013 to May 13, 2013 · Austin, Tx
- Morgan Keegan & Company, LLC formerFeb 14, 2006 to Feb 13, 2013 · Austin, Tx
- UBS Financial Services Inc. wirehouseFeb 13, 1998 to Feb 23, 2006 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- Hilltop Securities Inc. to D.A. Davidson & Co.left Apr 22, 2023, registered Mar 27, 2023 (-26 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Raymond James & Associates, Inc. to Hilltop Securities Inc.left May 13, 2013, registered May 10, 2013 (-3 days) · Other
- Morgan Keegan & Company, LLC to Raymond James & Associates, Inc.left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to Morgan Keegan & Company, LLCleft Feb 23, 2006, registered Feb 14, 2006 (-9 days) · Other
Signals
- Gene Parvon Dickey left Hilltop Securities Inc. for D.A. Davidson & Co. (registered 2023-03-27)Apr 22, 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address