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
Benjamin Hollis Penix
Feed of 09/14/2026
At current firm
11 y
since Mar 3, 2015
In the industry
23 y
since Nov 2, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- Stephens BD affiliated currentsince Mar 3, 2015 · Fayetteville, Ar
- Raymond James & Associates, Inc. national BDFeb 13, 2013 to Mar 5, 2015 · Fayetteville, Ar
- Morgan Keegan & Company, LLC formerFeb 11, 2011 to Feb 13, 2013 · Fayetteville, Ar
- Raymond James Financial Services Advisors, Inc BD affiliatedJan 2, 2009 to Feb 14, 2011 · Springdale, Az
- Raymond James Financial Services, Inc. unclassifiedMar 9, 2006 to Jan 2, 2009 · Belle Vista, Ar
- A. G. Edwards & Sons, Inc. unclassifiedDec 12, 2003 to Feb 3, 2006 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- Raymond James & Associates, Inc. to Stephensleft Mar 5, 2015, registered Mar 3, 2015 (-2 days) · Other
- 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
- Raymond James Financial Services Advisors, Inc to Morgan Keegan & Company, LLCleft Feb 14, 2011, registered Feb 11, 2011 (-3 days) · Other
- Raymond James Financial Services, Inc. to Raymond James Financial Services Advisors, Incleft Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- A. G. Edwards & Sons, Inc. to Raymond James Financial Services, Inc.left Feb 3, 2006, registered Mar 9, 2006 (34 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address