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 Peggy Hampton
At current firm
3 y
since Aug 18, 2023
In the industry
29 y
since Apr 8, 1997 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Aug 18, 2023 · Irvine, Ca
- Raymond James Financial Services Advisors, Inc BD affiliatedAug 13, 2020 to Apr 10, 2023 · Irvine, Ca
- Silversage Advisors formerJun 6, 2017 to Jun 7, 2021 · Irvine, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJan 26, 2007 to Jun 2, 2017 · Newport Beach, Ca
- UBS Financial Services Inc. wirehouseApr 23, 2004 to Apr 28, 2005 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Raymond James Financial Services Advisors, Inc to Morgan Stanleyleft Apr 10, 2023, registered Aug 18, 2023 (130 days) · Affiliated broker-dealer or bank to wirehouse
- Silversage Advisors to Raymond James Financial Services Advisors, Incleft Jun 7, 2021, registered Aug 13, 2020 (-298 days) · Other · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Silversage Advisorsleft Jun 2, 2017, registered Jun 6, 2017 (4 days) · Other
- UBS Financial Services Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 28, 2005, registered Jan 26, 2007 (638 days) · Wirehouse to wirehouse
Signals
- Peggy I Pinkerton left Raymond James Financial Services Advisors, Inc for Morgan Stanley (registered 2023-08-18)Apr 10, 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address