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
At current firm
7 y
since Oct 5, 2018
In the industry
26 y
since Oct 7, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Mag Cap independent RIA currentsince Oct 5, 2018 · Ridgeland, Ms
- Raymond James & Associates, Inc. national BDFeb 13, 2013 to Oct 1, 2018 · Jackson, Ms
- Morgan Keegan & Company, LLC formerMar 20, 2009 to Feb 13, 2013 · Jackson, Ms
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 1, 2000 to Mar 23, 2009 · Jackson, Ms
Moves
a registration end followed by a registration begin elsewhere
- Raymond James & Associates, Inc. to Mag Capleft Oct 1, 2018, registered Oct 5, 2018 (4 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- Morgan Keegan & Company, LLC to Raymond James & Associates, Inc.left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Keegan & Company, LLCleft Mar 23, 2009, registered Mar 20, 2009 (-3 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address