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RIA / WealthAdvisorChartered Financial Analyst26 years in industry

MICHAEL DAVID BROWN

Advisor at THE PLANNING GROUP

NORTHFIELD, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2003 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: THE PLANNING GROUP
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: Dec 1, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Designations: Chartered Financial Analyst
Exams: S66
First exam: Aug 9, 2001
First registration: Mar 28, 2003
Dual registered: no
Other names: MIKE BROWN
IAPD individual key: 2903488

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
THE PLANNING GROUP	Independent wealth	Sep 25, 2018	n/a	yes	NORTHFIELD, IL	Current employment
DRW FINANCIAL, INC.	n/a	Apr 18, 2012	Dec 31, 2012	no	NORTHFIELD, IL	Previous registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Aug 10, 2009	Feb 6, 2019	no	NORTHFIELD, IL\|Northfield, IL	Previous registration
WATERSTONE FINANCIAL GROUP, INC.	n/a	Mar 28, 2003	Aug 10, 2009	no	NORTHFIELD, IL\|NORTHFIELD, IL	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	DRW FINANCIAL, INC.	Feb 6, 2019	Apr 18, 2012	-2,485	Firm change after gap	Other
DRW FINANCIAL, INC.	THE PLANNING GROUP	Dec 31, 2012	Sep 25, 2018	2,094	Firm change after gap	Other
WATERSTONE FINANCIAL GROUP, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Aug 10, 2009	Aug 10, 2009	0	Firm change	Other

Relationships

Registered with (4)

→ THE PLANNING GROUPRegistered adviserregistration: current employment
Sep 25, 2018 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 10, 2009 to Feb 6, 2019factForm ADV
→ DRW FINANCIAL, INC.Registered adviserregistration: previous registration
Apr 18, 2012 to Dec 31, 2012factForm ADV
→ WATERSTONE FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Mar 28, 2003 to Aug 10, 2009factForm ADV

Dated events

No dated event names this entity yet.