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•••••• D• A•••••

S•••••••• A••••••• L••national BDCincinnati, Oh dual registrantIAPD 5004868

Feed of 09/15/2026

Also filed as M•••••• D• A•••••

At current firm

1 y

since Mar 31, 2025

In the industry

18 y

since Feb 13, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Cincinnati, Oh
F••••••• P••••••• A•• W•••••••• A••••••• former
May 19, 2024 to Mar 31, 2025 · Cincinnati, Oh
P•••• S••••••••• L•• no RAUM
Apr 4, 2024 to Apr 16, 2024 · Cincinnati, Oh
F••••• I••••••••• independent RIA
Nov 22, 2020 to Nov 20, 2023 · Plano, Tx
C••••••• P••••••• independent RIA
Sep 26, 2016 to Nov 10, 2020 · Cincinnati, Oh
J••• M••••• S••••••••• L•• wirehouse
Dec 5, 2013 to Sep 15, 2016 · Cincinnati, Oh
T• A••••••••• I••••••••• M••••••••• L•• former
May 8, 2009 to Dec 13, 2013 · Cincinnati, Oh
T• A••••••••• I••• former
May 8, 2009 to Dec 13, 2013 · Cincinnati, Oh
U•• F•••••••• S••••••• I••• wirehouse
Feb 13, 2008 to May 11, 2009 · Miamisburg, Oh

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 16, 2024, registered May 19, 2024 (33 days) · Affiliated broker-dealer or bank to another · moved with a team
F••••• I••••••••• to P•••• S••••••••• L••
left Nov 20, 2023, registered Apr 4, 2024 (136 days) · RIA to affiliated broker-dealer or bank
C••••••• P••••••• to F••••• I•••••••••
left Nov 10, 2020, registered Nov 22, 2020 (12 days) · RIA to RIA
J••• M••••• S••••••••• L•• to C••••••• P•••••••
left Sep 15, 2016, registered Sep 26, 2016 (11 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 13, 2013, registered May 8, 2009 (-1680 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••
left Dec 13, 2013, registered Dec 5, 2013 (-8 days) · Other
U•• F•••••••• S••••••• I••• to T• A••••••••• I•••
left May 11, 2009, registered May 8, 2009 (-3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)

Signals

M•••••• D• A••••• left P•••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-19)
Apr 16, 2024 · Advisor changed firm · fact
M•••••• D• A••••• left F••••• I••••••••• for P•••• S••••••••• L•• (registered 2024-04-04)
Nov 20, 2023 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address