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.

Former SEC-registered adviser

Morgan Keegan & Company, LLC

Former SEC-registered adviserMemphis, TennesseeCRD 4161SEC 801-19665IAPD
Latest filing Sep 17, 2013
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$10B
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2,099
1,181 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$10B as of Dec 21, 2012
Mar 30, 2012$9.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1,181
Employees (5.A): 2,099
Private funds: no history
RAUM +3.8% over the last fiscal year
Practice profile
derived from the filing of Sep 17, 2013; every figure names its basis
RAUM per advisor
$8.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$269,502derivedRAUM over accounts (5.F.2.f)
Discretionary
49%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
196.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+3.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
700reportedItem 5.H
Custody
$9.9B, 34,911 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
37,166reported
Financial planning clients
700reported
Wrap fee programs
noreported
Custody of client assets
$9.9B for 34,911 clientsreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Robert Atkinson IV Baird · President - Investment Bankingcontrol
    since 04/2008 · owns less than 5%
  • Jacqueline Ann Beauprez · Chief Compliance Officer / Broker Dealercontrol
    since 07/2013 · owns less than 5%
  • John Congleton Jr Carson · Ceocontrol
    since 04/2008 · owns less than 5%
  • Richard Sidney Ferguson · President - Private Client Groupcontrol
    since 01/2010 · owns less than 5%
  • Charles Darryl Maxwell · Chief Financial Officercontrol
    since 07/2006 · owns less than 5%
  • Brent Patrick Nicks · Chief Compliance Officer / Ia Affiliatecontrol
    since 07/2013 · owns less than 5%
  • Joseph Clarence Barkley · Operations Manager - Managing Director
    since 01/1986 · owns less than 5%
  • Kevin Howard Giddis · President - Fixed Income Capital Markets
    since 01/2011 · owns less than 5%
  • Paul Louis Matecki · General Counsel
    since 10/2012 · owns less than 5%
Entity owners
  • Raymond James Financial, Inc. · Parent
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Advisers that list Morgan Keegan & Company, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Atlanta, GA
  • Atlanta, GA
  • Birmingham, AL
  • Memphis, TN
  • Nashville, TN
What changed
consecutive filings, newest first
  • Business name · MORGAN KEEGAN & COMPANY, INC. to MORGAN KEEGAN & COMPANY, LLC
    Aug 23, 2013 to Aug 26, 2013
  • Legal name · MORGAN KEEGAN & COMPANY, INC. to MORGAN KEEGAN & COMPANY, LLC
    Aug 23, 2013 to Aug 26, 2013
  • Succession · true to false
    Aug 23, 2013 to Aug 26, 2013
  • Organization form · Corporation to Limited Liability Company
    Jul 16, 2013 to Aug 23, 2013
  • Succession · false to true
    Jul 16, 2013 to Aug 23, 2013
  • Accounts · 37,832 to 37,166
    Nov 26, 2012 to Dec 21, 2012
  • Advisory employees · 1,404 to 1,181
    Nov 26, 2012 to Dec 21, 2012
  • BD registered reps · 1,402 to 1,181
    Nov 26, 2012 to Dec 21, 2012
  • Employees · 3,157 to 2,099
    Nov 26, 2012 to Dec 21, 2012
  • Insurance-licensed employees · 0 to 375
    Nov 26, 2012 to Dec 21, 2012
  • State-registered IARs · 0 to 1,181
    Nov 26, 2012 to Dec 21, 2012
  • Discretionary RAUM · $4.8B to $4.9B
    Nov 26, 2012 to Dec 21, 2012
  • Non-discretionary RAUM · $4.8B to $5.1B
    Nov 26, 2012 to Dec 21, 2012
  • RAUM · $9.7B to $10B
    Nov 26, 2012 to Dec 21, 2012
  • Advisory employees · unset to 1404.0
    Oct 24, 2012 to Nov 8, 2012
  • BD registered reps · unset to 1402.0
    Oct 24, 2012 to Nov 8, 2012
  • Employees · unset to 3157.0
    Oct 24, 2012 to Nov 8, 2012
  • State-registered IARs · unset to 0.0
    Oct 24, 2012 to Nov 8, 2012
  • Assets in custody · unset to 9870189320.0
    Mar 30, 2012 to Apr 27, 2012
  • Custody of client assets · false to true
    Mar 30, 2012 to Apr 27, 2012
Signals
1 dated events
  • Morgan Keegan & Company, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Aug 23, 2013 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026