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RIA / WealthAdvisor20 years in industry

MICHAEL DAVID FOLEY

Advisor at WELLESLEY ASSET MANAGEMENT, INC.

PORTSMOUTH, NH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 10, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLESLEY ASSET MANAGEMENT, INC.
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 10, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Jul 10, 2006
First registration: Aug 10, 2007
Dual registered: no
Other names: MICHAEL D FOLEY|Mike Foley
IAPD individual key: 5042262

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLESLEY ASSET MANAGEMENT, INC.	Mixed wealth	Oct 5, 2015	n/a	yes	PORTSMOUTH, NH	Current employment
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jun 30, 2011	Sep 29, 2015	no	ARLINGTON, VA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 10, 2007	Nov 19, 2010	no	QUINCY, MA\|PROVIDENCE, RI	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Aug 10, 2007	Nov 19, 2010	no	Boston, MA\|Providence, RI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E*TRADE CAPITAL MANAGEMENT, LLC	WELLESLEY ASSET MANAGEMENT, INC.	Sep 29, 2015	Oct 5, 2015	6	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Nov 19, 2010	Aug 10, 2007	-1,197	Channel change	Other
TD AMERITRADE, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Nov 19, 2010	Jun 30, 2011	223	Firm change	Other

Relationships

Registered with (4)

→ WELLESLEY ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Oct 5, 2015 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 30, 2011 to Sep 29, 2015factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 10, 2007 to Nov 19, 2010factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Aug 10, 2007 to Nov 19, 2010factForm ADV

Dated events

No dated event names this entity yet.