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 Lee Rose
Feed of 09/15/2026
At current firm
0 y
since May 6, 2026
In the industry
25 y
since Mar 29, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James & Associates, Inc. national BD currentsince May 6, 2026 · Lafayette, In
- Stifel, Nicolaus & Company, Incorporated national BDFeb 28, 2017 to May 20, 2026 · Lafayette, In
- City Securities Corporation formerAug 29, 2008 to Feb 28, 2017 · Indianapolis, In
- Natcity Investments, Inc. unclassifiedFeb 20, 2003 to Sep 2, 2008 · Logansport, In
Moves
a registration end followed by a registration begin elsewhere
- Stifel, Nicolaus & Company, Incorporated to Raymond James & Associates, Inc.left May 20, 2026, registered May 6, 2026 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- City Securities Corporation to Stifel, Nicolaus & Company, Incorporatedleft Feb 28, 2017, registered Feb 28, 2017 (0 days) · corporate re-registration, not a move
- Natcity Investments, Inc. to City Securities Corporationleft Sep 2, 2008, registered Aug 29, 2008 (-4 days) · Other
Signals
- Michael Lee Rose left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2026-05-06)May 20, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address