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RIA / WealthAdvisor38 years in industry

MICHAEL JAMES GAVIN

Advisor at EDELMAN FINANCIAL ENGINES

MANDEVILLE, LA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 22, 2004 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: EDELMAN FINANCIAL ENGINES
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 8, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Apr 8, 1988
First registration: Apr 22, 2004
Dual registered: no
Other names: MICHAEL JAMES SMITH|MICHAEL JAMES SMITH|MICHAEL JAMES GAVIN|MICHAEL J GAVIN
IAPD individual key: 1816450

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
EDELMAN FINANCIAL ENGINES	Independent wealth	Mar 7, 2017	n/a	yes	MANDEVILLE, LA	Current employment
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	Jan 27, 2017	Mar 6, 2017	no	SAINT LOUIS, MO	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 16, 2014	Jul 13, 2016	no	RANCHO CUCAMONGA, CA\|RANCHO CUCAMONGA, CA\|RANCHO CUCAMONGA, CA\|RIVERSIDE, CA\|RIVERSIDE, CA\|RANCHO CUCAMONGA, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 2, 2009	Jun 6, 2014	no	RANCHO CUCAMONGA, CA\|BEVERLY HILLS, CA\|BEVERLY HILLS, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Sep 2, 2009	Jun 6, 2014	no	Upland, CA\|Beverly Hills, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 22, 2004	Aug 4, 2009	no	Pasadena, CA\|GLENDALE, CA	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
SCOTTRADE INVESTMENT MANAGEMENT	EDELMAN FINANCIAL ENGINES	Mar 6, 2017	Mar 7, 2017	1	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SCOTTRADE INVESTMENT MANAGEMENT	Jul 13, 2016	Jan 27, 2017	198	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 6, 2014	Jun 16, 2014	10	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 6, 2014	Sep 2, 2009	-1,738	Channel change	Other
CHARLES SCHWAB & CO., INC.	TD AMERITRADE, INC.	Aug 4, 2009	Sep 2, 2009	29	Firm change	Ibd to new firm

Relationships

Registered with (6)

→ EDELMAN FINANCIAL ENGINESRegistered adviserregistration: current employment
Mar 7, 2017 to presentfactForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Jan 27, 2017 to Mar 6, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 16, 2014 to Jul 13, 2016factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 2, 2009 to Jun 6, 2014factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Sep 2, 2009 to Jun 6, 2014factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 22, 2004 to Aug 4, 2009factForm ADV

Dated events

No dated event names this entity yet.