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
Katie Lynn Hughes
Feed of 09/15/2026
Also filed as Katie L Hughes
At current firm
0 y
since Sep 22, 2025
In the industry
24 y
since Mar 29, 2002 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- RBC Capital Markets, LLC national BD currentsince Sep 22, 2025 · Hunt Valley, Md
- Janney Montgomery Scott LLC BD affiliatedOct 24, 2022 to Sep 22, 2025 · Lutherville (Greenspring), Md
- Ameriprise Financial Services, LLC national BDApr 10, 2018 to Oct 27, 2022 · Lutherville Timonium, Md
- Chapin Davis Asset Management independent RIASep 13, 2017 to Apr 25, 2018 · Baltimore, Md
- Wells Fargo Advisors wirehouseAug 11, 2015 to Aug 8, 2017 · Baltimore, Md
- Benjamin F. Edwards & Company, Incorporated BD affiliatedNov 15, 2013 to Aug 13, 2015 · St. Louis, Mo
- Wells Fargo Advisors wirehouseJun 19, 2006 to Nov 19, 2013 · Baltimore, Md
- Banc Of America Investment Services, Inc. unclassifiedDec 2, 2004 to Dec 21, 2005 · Baltimore, Md
- Legg Mason Wood Walker, Incorporated unclassifiedApr 1, 2002 to Dec 11, 2003 · Pikesville, Md
Moves
a registration end followed by a registration begin elsewhere
- Janney Montgomery Scott LLC to RBC Capital Markets, LLCleft Sep 22, 2025, registered Sep 22, 2025 (0 days) · Affiliated broker-dealer or bank to another
- Ameriprise Financial Services, LLC to Janney Montgomery Scott LLCleft Oct 27, 2022, registered Oct 24, 2022 (-3 days) · Affiliated broker-dealer or bank to another
- Chapin Davis Asset Management to Ameriprise Financial Services, LLCleft Apr 25, 2018, registered Apr 10, 2018 (-15 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Wells Fargo Advisors to Chapin Davis Asset Managementleft Aug 8, 2017, registered Sep 13, 2017 (36 days) · Other
- Benjamin F. Edwards & Company, Incorporated to Wells Fargo Advisorsleft Aug 13, 2015, registered Aug 11, 2015 (-2 days) · Other
- Wells Fargo Advisors to Benjamin F. Edwards & Company, Incorporatedleft Nov 19, 2013, registered Nov 15, 2013 (-4 days) · Other
- Banc Of America Investment Services, Inc. to Wells Fargo Advisorsleft Dec 21, 2005, registered Jun 19, 2006 (180 days) · Other
- Legg Mason Wood Walker, Incorporated to Banc Of America Investment Services, Inc.left Dec 11, 2003, registered Dec 2, 2004 (357 days) · Other
Signals
- Katie Lynn Hughes left Janney Montgomery Scott Llc for Rbc Capital Markets, Llc (registered 2025-09-22)Sep 22, 2025 · Advisor changed firm · fact
- Katie Lynn Hughes left Ameriprise Financial Services, Llc for Janney Montgomery Scott Llc (registered 2022-10-24)Oct 27, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address