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

Michael Scott Games

LPL Financial LLCBD affiliatedBellevue, Ky dual registrantIAPD 2773040

Feed of 09/14/2026

Also filed as Scott Games

At current firm

0 y

since Jul 21, 2026

In the industry

30 y

since Aug 12, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jul 21, 2026 · Bellevue, Ky
Sei Investments Management Corp mixed wealth
Jul 8, 2020 to Mar 25, 2026 · Oaks, Pa
Ross, Sinclaire & Associates, LLC former
Jul 21, 2014 to Jun 15, 2020 · Cincinnati, Oh
Fifth Third Securities, Inc. BD affiliated
May 21, 2008 to Jul 15, 2014 · Cincinnati, Oh
Essex National Securities, Inc. former
Aug 7, 2007 to Oct 29, 2007 · Mt. Orab, Oh
UBS Financial Services Inc. wirehouse
Aug 1, 2005 to Jul 25, 2007 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

Sei Investments Management Corp to LPL Financial LLC
left Mar 25, 2026, registered Jul 21, 2026 (118 days) · RIA to affiliated broker-dealer or bank
Ross, Sinclaire & Associates, LLC to Sei Investments Management Corp
left Jun 15, 2020, registered Jul 8, 2020 (23 days) · Other
Fifth Third Securities, Inc. to Ross, Sinclaire & Associates, LLC
left Jul 15, 2014, registered Jul 21, 2014 (6 days) · Other
Essex National Securities, Inc. to Fifth Third Securities, Inc.
left Oct 29, 2007, registered May 21, 2008 (205 days) · Other
UBS Financial Services Inc. to Essex National Securities, Inc.
left Jul 25, 2007, registered Aug 7, 2007 (13 days) · Other

Signals

Michael Scott Games left Sei Investments Management Corp for Lpl Financial Llc (registered 2026-07-21)
Mar 25, 2026 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address