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
Harlan Dickson Hughes
Feed of 09/15/2026
Also filed as Harlan D Hughes
At current firm
9 y
since Jun 26, 2017
In the industry
31 y
since Aug 18, 1995 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Newedge Advisors BD affiliated currentsince Jun 26, 2017 · New Orleans, La
- Capital One Advisors, LLC formerApr 17, 2015 to Jun 26, 2017 · Shreveport, La
- Raymond James Financial Services Advisors, Inc BD affiliatedAug 3, 2012 to Apr 6, 2015 · Bossier City, La
- Morgan Stanley wirehouseNov 18, 2010 to Aug 3, 2012 · Shreveport, La
- Morgan Stanley Dw Inc. unclassifiedDec 16, 2002 to Aug 29, 2005 · Shreveport, La
Moves
a registration end followed by a registration begin elsewhere
- Capital One Advisors, LLC to Newedge Advisorsleft Jun 26, 2017, registered Jun 26, 2017 (0 days) · Other
- Raymond James Financial Services Advisors, Inc to Capital One Advisors, LLCleft Apr 6, 2015, registered Apr 17, 2015 (11 days) · Other
- Morgan Stanley to Raymond James Financial Services Advisors, Incleft Aug 3, 2012, registered Aug 3, 2012 (0 days) · Other
- Morgan Stanley Dw Inc. to Morgan Stanleyleft Aug 29, 2005, registered Nov 18, 2010 (1907 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address