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
Patricia Elizabeth Phipps
Feed of 09/14/2026
Also filed as Mcsween Phipps
At current firm
0 y
since Jan 1, 2026
In the industry
32 y
since Sep 2, 1994 (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
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
- Kovack Advisors, Inc. BD affiliated currentsince Jan 1, 2026 · Ft. Lauderdale, Fl
- Mutual Advisors, LLC BD affiliatedJul 1, 2013 to Nov 2, 2018 · Pico Rivera, Ca
- Mutual Securities, Inc. formerSep 9, 2009 to Jul 9, 2013 · Westlake Village, Ca
- Wells Fargo Advisors wirehouseJan 1, 2008 to Sep 22, 2009 · Arroyo Grande, Ca
- A. G. Edwards & Sons, Inc. unclassifiedAug 7, 2001 to Jan 1, 2008 · Arroyo Grande, Ca
Moves
a registration end followed by a registration begin elsewhere
- Mutual Advisors, LLC to Kovack Advisors, Inc.left Nov 2, 2018, registered Jan 1, 2026 (2617 days) · Affiliated broker-dealer or bank to another
- Mutual Securities, Inc. to Mutual Advisors, LLCleft Jul 9, 2013, registered Jul 1, 2013 (-8 days) · Other
- Wells Fargo Advisors to Mutual Securities, Inc.left Sep 22, 2009, registered Sep 9, 2009 (-13 days) · Other
- A. G. Edwards & Sons, Inc. to Wells Fargo Advisorsleft Jan 1, 2008, registered Jan 1, 2008 (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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address