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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

R••••• B•••••• M•••••

K•• I••••••••• S••••••• L••BD affiliatedBrecksville, Oh dual registrantIAPD 1068515

Feed of 09/14/2026

Also filed as Brad M•••••

At current firm

3 y

since Jun 7, 2023

In the industry

42 y

since Jun 14, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•• I••••••••• S••••••• L•• BD affiliated current
since Jun 7, 2023 · Brooklyn, Oh
U•• F•••••••• S••••••• I••• wirehouse
Oct 29, 2015 to Mar 7, 2023 · Williamsville, Ny
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to Oct 29, 2015 · Miamisburg, Oh
M••••• K••••• • C••••••• L•• former
Jun 8, 2011 to Feb 13, 2013 · Miamisburg, Oh
M••••• A••••••• S•••••••• I••• independent RIA
Oct 1, 2010 to Apr 1, 2011 · Dublin, Oh
M••••• A•••• M••••••••• I••• asset manager
Oct 1, 2010 to Apr 1, 2011 · Dublin, Oh
A••••••••• I••• BD affiliated
Aug 26, 2008 to May 24, 2010 · Concord, Ca
I••• A•••••••• I••• other
Dec 14, 2005 to May 28, 2008 · Greenwood Village, Co
K•••••• C•••••• M•••••• I••• unclassified
Oct 11, 2005 to Dec 2, 2005 · Dayton, Oh

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to K•• I••••••••• S••••••• L••
left Mar 7, 2023, registered Jun 7, 2023 (92 days) · Wirehouse to affiliated broker-dealer or bank
R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••
left Oct 29, 2015, registered Oct 29, 2015 (0 days) · Affiliated broker-dealer or bank to wirehouse
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
M••••• A•••• M••••••••• I••• to M••••• K••••• • C••••••• L••
left Apr 1, 2011, registered Jun 8, 2011 (68 days) · Other
M••••• A••••••• S•••••••• I••• to M••••• A•••• M••••••••• I•••
left Apr 1, 2011, registered Oct 1, 2010 (-182 days) · Other
A••••••••• I••• to M••••• A••••••• S•••••••• I•••
left May 24, 2010, registered Oct 1, 2010 (130 days) · Other
I••• A•••••••• I••• to A••••••••• I•••
left May 28, 2008, registered Aug 26, 2008 (90 days) · Other
K•••••• C•••••• M•••••• I••• to I••• A•••••••• I•••
left Dec 2, 2005, registered Dec 14, 2005 (12 days) · Other

Signals

R••••• B•••••• M••••• left U•• F•••••••• S••••••• I••• for K•• I••••••••• S••••••• L•• (registered 2023-06-07)
Mar 7, 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address