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

Roxane Kay Miller

LPL Enterprise, LLCBD affiliatedFort Mill, Sc dual registrantIAPD 3105071

Feed of 09/14/2026

Also filed as Roxie Miller

At current firm

2 y

since Aug 28, 2024

In the industry

28 y

since Sep 16, 1998 (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 Enterprise, LLC BD affiliated current
since Aug 28, 2024 · Fort Mill, Sc
LPL Financial LLC BD affiliated
Jan 20, 2015 to Jun 6, 2024 · Beavercreek, Oh
Lincoln Investment independent RIA
Jan 27, 2014 to Nov 14, 2014 · Cincinnati, Oh
Fifth Third Securities, Inc. BD affiliated
May 22, 2007 to Jan 17, 2014 · Cincinnati, Oh
U.S. Bancorp Advisors, LLC BD affiliated
Jan 19, 2004 to Aug 11, 2004 · Oceanside, Ca

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to LPL Enterprise, LLC
left Jun 6, 2024, registered Aug 28, 2024 (83 days) · Affiliated broker-dealer or bank to a newly registered adviser
Lincoln Investment to LPL Financial LLC
left Nov 14, 2014, registered Jan 20, 2015 (67 days) · Other
Fifth Third Securities, Inc. to Lincoln Investment
left Jan 17, 2014, registered Jan 27, 2014 (10 days) · Other
U.S. Bancorp Advisors, LLC to Fifth Third Securities, Inc.
left Aug 11, 2004, registered May 22, 2007 (1014 days) · Other

Signals

Roxane Kay Miller left Lpl Financial Llc for Lpl Enterprise, Llc (registered 2024-08-28)
Jun 6, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address