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
Karen Dalmau
Feed of 09/14/2026
Also filed as Karen Lyn Glancy
At current firm
0 y
since May 5, 2026
In the industry
18 y
since Nov 9, 2007 (earliest exam, job or registration)
Prior registered firms
9
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- Oppenheimer & Co. Inc. BD affiliated currentsince May 5, 2026 · Los Angeles, Ca
- Edward Jones national BDMar 18, 2024 to May 13, 2026 · St. Louis, Mo
- Morgan Stanley wirehouseApr 14, 2023 to Mar 21, 2024 · Los Angeles, Ca
- UBS Financial Services Inc. wirehouseOct 19, 2017 to Mar 6, 2023 · Westlake Village, Ca
- Morgan Stanley wirehouseApr 9, 2014 to Sep 20, 2017 · Los Angeles, Ca
- Waddell & Reed formerDec 6, 2012 to Feb 11, 2014 · Torrance, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 7, 2011 to Dec 10, 2012 · Redondo Beach, Ca
- Ameriprise Financial Services, LLC national BDJan 26, 2010 to Jan 21, 2011 · Newport Beach, Ca
- Wells Fargo Investments, LLC unclassifiedJul 24, 2009 to Nov 23, 2009 · Rancho Palos Verdes, Ca
- Edward Jones national BDNov 16, 2007 to Feb 25, 2008 · Redondo Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Edward Jones to Oppenheimer & Co. Inc.left May 13, 2026, registered May 5, 2026 (-8 days) · Affiliated broker-dealer or bank to another
- Morgan Stanley to Edward Jonesleft Mar 21, 2024, registered Mar 18, 2024 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- UBS Financial Services Inc. to Morgan Stanleyleft Mar 6, 2023, registered Apr 14, 2023 (39 days) · Wirehouse to wirehouse · moved with a team
- Morgan Stanley to UBS Financial Services Inc.left Sep 20, 2017, registered Oct 19, 2017 (29 days) · Wirehouse to wirehouse · moved with a team
- Waddell & Reed to Morgan Stanleyleft Feb 11, 2014, registered Apr 9, 2014 (57 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Waddell & Reedleft Dec 10, 2012, registered Dec 6, 2012 (-4 days) · Other
- Ameriprise Financial Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jan 21, 2011, registered Feb 7, 2011 (17 days) · Affiliated broker-dealer or bank to wirehouse
- Wells Fargo Investments, LLC to Ameriprise Financial Services, LLCleft Nov 23, 2009, registered Jan 26, 2010 (64 days) · Other
- Edward Jones to Wells Fargo Investments, LLCleft Feb 25, 2008, registered Jul 24, 2009 (515 days) · Other
Signals
- Karen Dalmau left Edward Jones for Oppenheimer & Co. Inc. (registered 2026-05-05)May 13, 2026 · Advisor changed firm · fact
- Karen Dalmau left Morgan Stanley for Edward Jones (registered 2024-03-18)Mar 21, 2024 · Advisor changed firm · fact
- Karen Dalmau left Ubs Financial Services Inc. for Morgan Stanley (registered 2023-04-14)Mar 6, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address