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

M••• G••••• S••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedVilla Hills, Ky dual registrantIAPD 1758736

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Mar 15, 2024

In the industry

38 y

since Nov 11, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Mar 15, 2024 · Villa Hills, Ky
C•••• C•••••• S••••••••• L••• former
Jun 20, 2007 to Mar 13, 2024 · Cincinnati, Oh
L••• K••• • C•••••• former
Apr 13, 2006 to Feb 14, 2007 · Cincinnati, Oh
E••••• A••••••• I••• unclassified
Sep 12, 2002 to Mar 31, 2006 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

C•••• C•••••• S••••••••• L••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 13, 2024, registered Mar 15, 2024 (2 days) · Affiliated broker-dealer or bank to another
L••• K••• • C•••••• to C•••• C•••••• S••••••••• L•••
left Feb 14, 2007, registered Jun 20, 2007 (126 days) · Other
E••••• A••••••• I••• to L••• K••• • C••••••
left Mar 31, 2006, registered Apr 13, 2006 (13 days) · Other

Signals

M••• G••••• S•••• left C•••• C•••••• S••••••••• L••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-03-15)
Mar 13, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address