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

F•••••• R••••• M•••••

P•• W••••• M•••••••••BD affiliatedBardstown, Ky dual registrantIAPD 6671082

Feed of 09/15/2026

Also filed as Frank R M•••••

At current firm

2 y

since May 15, 2024

In the industry

10 y

since Sep 1, 2016 (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

P•• W••••• M••••••••• BD affiliated current
since May 15, 2024 · Elizabethtown, Ky
U••• B•••••• I••••••••• I••• former
Jun 5, 2023 to May 9, 2024 · Louisville, Ky
P•• W••••• M••••••••• BD affiliated
Apr 19, 2023 to May 26, 2023 · Louisville, Ky
J••• M••••• S••••••••• L•• wirehouse
Oct 23, 2020 to Apr 11, 2023 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to P•• W••••• M•••••••••
left May 9, 2024, registered May 15, 2024 (6 days) · Affiliated broker-dealer or bank to another
P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••
left May 26, 2023, registered Jun 5, 2023 (10 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••
left Apr 11, 2023, registered Apr 19, 2023 (8 days) · Wirehouse to affiliated broker-dealer or bank

Signals

F•••••• R••••• M••••• left U••• B•••••• I••••••••• I••• for P•• W••••• M••••••••• (registered 2024-05-15)
May 9, 2024 · Advisor changed firm · fact
F•••••• R••••• M••••• left P•• W••••• M••••••••• for U••• B•••••• I••••••••• I••• (registered 2023-06-05)
May 26, 2023 · Advisor changed firm · fact
F•••••• R••••• M••••• left J••• M••••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2023-04-19)
Apr 11, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address