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
Phillip Edward Hall
Feed of 09/14/2026
Also filed as Phillip Edward Hall
At current firm
4 y
since Jan 6, 2022
In the industry
32 y
since May 17, 1994 (earliest exam, job or registration)
Prior registered firms
6
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Oppenheimer & Co. Inc. BD affiliated currentsince Jan 6, 2022 · Nashville, Tn
- B Riley Wealth Management formerJan 15, 2021 to Dec 6, 2021 · Nashville, Tn
- Bny Mellon Securities Corporation otherMar 16, 2018 to Jan 21, 2021 · Naperville, Il
- Salient Capital Advisors, LLC formerSep 10, 2015 to Feb 28, 2018 · Houston, Tx
- Morgan Stanley wirehouseJun 1, 2009 to Aug 12, 2014 · Los Angeles, Ca
- Citigroup Global Markets Inc. BD affiliatedFeb 2, 2006 to Jun 1, 2009 · Naperville, Il
- Morgan Stanley Dw Inc. unclassifiedJul 30, 1999 to Feb 2, 2006 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- B Riley Wealth Management to Oppenheimer & Co. Inc.left Dec 6, 2021, registered Jan 6, 2022 (31 days) · Affiliated broker-dealer or bank to another
- Bny Mellon Securities Corporation to B Riley Wealth Managementleft Jan 21, 2021, registered Jan 15, 2021 (-6 days) · Affiliated broker-dealer or bank to another
- Salient Capital Advisors, LLC to Bny Mellon Securities Corporationleft Feb 28, 2018, registered Mar 16, 2018 (16 days) · Other
- Morgan Stanley to Salient Capital Advisors, LLCleft Aug 12, 2014, registered Sep 10, 2015 (394 days) · Other
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Citigroup Global Markets Inc.left Feb 2, 2006, registered Feb 2, 2006 (0 days) · Other
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