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••• A••••• S•••••

T••••••••• R••••••••• A•••••••• L••BD affiliatedMilford, Ohdual registrantIAPD 5959823

Feed of 09/14/2026

At current firm

1 y

since Jul 21, 2025

In the industry

15 y

since Jul 1, 2011 (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

T••••••••• R••••••••• A•••••••• L•• BD affiliated current
since Jul 21, 2025 · Milford, Oh
U•• F•••••••• S••••••• I••• wirehouse
Dec 21, 2018 to Feb 18, 2025 · Cincinnati, Oh
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 9, 2017 to Oct 16, 2018 · Cincinnati, Oh
T• A••••••••• I••• former
Jan 9, 2017 to Oct 16, 2018 · Cincinnati, Oh
S•••••••• A••••••• L•• national BD
May 2, 2012 to Dec 8, 2016 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to T••••••••• R••••••••• A•••••••• L••
left Feb 18, 2025, registered Jul 21, 2025 (153 days) · Wirehouse to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••
left Oct 16, 2018, registered Dec 21, 2018 (66 days) · RIA to wirehouse
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 16, 2018, registered Jan 9, 2017 (-645 days) · channel change inside one enterprise, not a move
S•••••••• A••••••• L•• to T• A••••••••• I•••
left Dec 8, 2016, registered Jan 9, 2017 (32 days) · Other

Signals

M••• A••••• S••••• left U•• F•••••••• S••••••• I••• for T••••••••• R••••••••• A•••••••• L•• (registered 2025-07-21)
Feb 18, 2025 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address