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
Kelly P Allen
Feed of 09/14/2026
Also filed as Kelly Patricia James
At current firm
1 y
since May 16, 2025
In the industry
25 y
since Aug 6, 2001 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James & Associates, Inc. national BD currentsince May 16, 2025 · Allentown, Pa
- Morgan Stanley wirehouseJun 1, 2009 to Jan 3, 2024 · Morristown, Nj
- Morgan Stanley & Co. LLC unclassifiedMar 17, 2009 to Jun 1, 2009 · Morristown, Nj
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 3, 2003 to Mar 17, 2009 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Raymond James & Associates, Inc.left Jan 3, 2024, registered May 16, 2025 (499 days) · Wirehouse to affiliated broker-dealer or bank
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley & Co. LLCleft Mar 17, 2009, registered Mar 17, 2009 (0 days) · Other
Signals
- Kelly P Allen left Morgan Stanley for Raymond James & Associates, Inc. (registered 2025-05-16)Jan 3, 2024 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address