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••• E•••••••• S•••••

M••••••BD affiliatedCincinnati, OhIA-onlyIAPD 4490311

Feed of 09/14/2026

Also filed as M••• E•••••••• S•••••

At current firm

4 y

since Jan 27, 2022

In the industry

24 y

since Jul 24, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Jan 27, 2022 · Cincinnati, Oh
A••••••••• L•• independent RIA
Nov 17, 2019 to Jan 11, 2022 · Los Angeles, Ca
F•••• T•••• S••••••••• I••• BD affiliated
Nov 9, 2006 to Apr 25, 2008 · Cincinnati, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 9, 2004 to Nov 12, 2004 · Cincinnati, Oh
E•••••••• A•••••••• L•• national BD
Jan 24, 2003 to Dec 31, 2003 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

A••••••••• L•• to M••••••
left Jan 11, 2022, registered Jan 27, 2022 (16 days) · RIA to affiliated broker-dealer or bank
F•••• T•••• S••••••••• I••• to A••••••••• L••
left Apr 25, 2008, registered Nov 17, 2019 (4223 days) · Other
A••••••••• F•••••••• S•••••••• L•• to F•••• T•••• S••••••••• I•••
left Nov 12, 2004, registered Nov 9, 2006 (727 days) · Other
E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Dec 31, 2003, registered Jun 9, 2004 (161 days) · Affiliated broker-dealer or bank to another

Signals

M••• E•••••••• S••••• left A••••••••• L•• for Mariner (registered 2022-01-27)
Jan 11, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address