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 Steven Roth
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as Michael S Roth
At current firm
1 y
since May 22, 2025
In the industry
24 y
since Sep 18, 2002 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Russell Investments asset manager currentsince May 22, 2025 · Milwaukee, Wi
- Annex Wealth Management, LLC independent RIADec 5, 2019 to Jul 22, 2021 · Brookfield, Wi
- Northwestern Mutual Investment Services,LLC no RAUMNov 21, 2014 to Jan 5, 2015 · Milwaukee, Wi
- Northwestern Mutual Investment Services,LLC no RAUMOct 6, 2011 to Sep 3, 2014 · Skokie, Il
Moves
a registration end followed by a registration begin elsewhere
- Annex Wealth Management, LLC to Russell Investmentsleft Jul 22, 2021, registered May 22, 2025 (1400 days) · Other
- Northwestern Mutual Investment Services,LLC to Annex Wealth Management, LLCleft Jan 5, 2015, registered Dec 5, 2019 (1795 days) · Other
Signals
No dated event on this person.
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address