MD
Matthew L. Darpel
INDEPENDENT ADVISOR ALLIANCE
Crestview Hills, KY 41017
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CRD#: 4458588
MD
Matthew Lawrence DarpelINDEPENDENT ADVISOR ALLIANCE
Professional summary
Matthew Lawrence Darpel, who also goes by Matthew L Darpel, Matthew L. Darpel, is a registered financial advisor currently at INDEPENDENT ADVISOR ALLIANCE, LLC located in Crestview Hills, Kentucky and ROBERT W. BAIRD & CO. INCORPORATED located in Fort Wright, Kentucky.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Matthew has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Matthew L Darpel | Matthew L. Darpel
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 10/31/2013: NO BUSINESS NAME - INVESTMENT RELATED - CRESTVIEW, COVINGTON & THOMAS, KY - REAL ESTATE RENTAL - OWNER- 4 RENTAL PROPS. 2. 10/31/2013: MATTHEW L DARPERL PSC - OTHER-ATTORNEY - TIME SPENT 5% - ATTORNEY- LEGAL SERVICES IN AREAS OF ESTATE PLANNING, PROBATE, ELDER LAW. 3. 2/20/2019 - Independent Advisor Alliance - DBA: (HYBRID) Darpel, Dickman & Harrigan Wealth Mgmt - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 12/20/2018 - 120 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 2/20/2019. I expect to spend approximately 120 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 10/23/2023 - Darpel & Howard Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/10/2023 - 160 Hours Per Month/ During Securities Trading 5. 12/04/2023 - Darpel Wealth Management LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 04/03/2023 - 50 Hours Per Month/ 40 Hours During Trading 6. 12/07/2023 - Darpel & Howard Wealth Advisors - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 12/20/2018 - 120 Hours Per Month/ 100 Hours During Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 12/2023. I expect to spend approximately 210 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7. 12/11/2023 - Darpel & Howard Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/07/2015 - 40 Hours Per Month/ During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Lawrence Darpel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Lawrence Darpel's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 10, 2018 - Present
INDEPENDENT ADVISOR ALLIANCE, LLC
Office #1: 509 Centre View Blvd, Crestview Hills, KY 41017RIA
CRD#: 168267
Crestview Hills, KY
Current
August 13, 2026 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 809 Wrights Summit Parkway Suite 310, Fort Wright, KY 41011RIA
BD
CRD#: 8158
Fort Wright, KY
Current
October 31, 2013 - Present
LPL FINANCIAL LLC
Office #1: 509 Centre View Blvd, Crestview Hills, KY 41017RIA
BD
CRD#: 6413
CRESTVIEW HILLS, KY
Current
August 13, 2026 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 809 Wrights Summit Parkway Suite 310, Fort Wright, KY 41011RIA
BD
CRD#: 8158
Fort Wright, KY
Past
November 4, 2025 - July 13, 2026
LPL FINANCIAL LLC
RIA
CRD#: 6413
CRESTVIEW HILLS, KY
Past
October 11, 2018 - December 7, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Crestview Hills, KY
Past
November 4, 2013 - October 10, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
CRESTVIEW HILLS, KY
Past
January 27, 2005 - October 31, 2013
CETERA ADVISORS LLC
RIA
CRD#: 10299
CRESTVIEW HILLS, KY
Past
January 27, 2005 - October 31, 2013
CETERA ADVISORS LLC
BD
CRD#: 10299
CRESTVIEW HILLS, KY
Past
May 18, 2004 - January 31, 2005
PAN-AMERICAN INVESTMENT ADVISERS, INC.
RIA
CRD#: 111107
FT. MITCHELLE, KY
Past
March 3, 2003 - January 31, 2005
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
September 30, 2002 - November 19, 2003
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
FLORENCE, KY
Past
July 9, 2002 - March 3, 2003
CFD INVESTMENTS, INC.
BD
CRD#: 25427
KOKOMO, IN
Past
February 26, 2002 - June 28, 2002
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(12/5/2013)
RR
Arkansas(8/17/2023)
RR
Florida(8/31/2021)
RR
Georgia(4/22/2015)
RR
Idaho(4/24/2025)
RR
Illinois(6/12/2024)
RR
Indiana(3/20/2015)
RR
Kentucky(10/31/2013)
IAR
Kentucky(12/10/2018)
RR
Ohio(10/31/2013)
IAR
Ohio(12/10/2018)
RR
Pennsylvania(1/5/2016)
RR
Tennessee(2/19/2019)
RR
Texas(1/5/2016)
IAR
Texas(12/10/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2025 | ||
| 10/24/2024 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ROBERT W. BAIRD & CO. INCORPORATED
CRD#: 8158Crestview Hills, KY 41017TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
