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
Brian William Ragen
Feed of 09/15/2026
Also filed as Brian Ragen
At current firm
8 y
since Mar 19, 2018
In the industry
36 y
since Jun 25, 1990 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
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
- Concorde Asset Management, LLC BD affiliated currentsince Mar 19, 2018 · Ann Arbor, Mi
- Triad Advisors, LLC formerOct 23, 2012 to Mar 6, 2018 · Atlanta, Ga
- L.M. Kohn & Company formerFeb 3, 2012 to May 21, 2012 · Atlanta, Ga
- Midsouth Capital, Inc. unclassifiedJan 16, 2008 to Jan 25, 2012 · Atlanta, Ga
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Dec 21, 2007 · Atlanta, Ga
- Morgan Stanley Dw Inc. unclassifiedSep 29, 2006 to Apr 2, 2007 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- Triad Advisors, LLC to Concorde Asset Management, LLCleft Mar 6, 2018, registered Mar 19, 2018 (13 days) · Other
- L.M. Kohn & Company to Triad Advisors, LLCleft May 21, 2012, registered Oct 23, 2012 (155 days) · Other
- Midsouth Capital, Inc. to L.M. Kohn & Companyleft Jan 25, 2012, registered Feb 3, 2012 (9 days) · Other
- Morgan Stanley & Co. LLC to Midsouth Capital, Inc.left Dec 21, 2007, registered Jan 16, 2008 (26 days) · Other
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address