DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

MICHAEL JEFFREY CLARK

Advisor at CAPITAL CLIENT GROUP, INC.

LOS ANGELES, CA | Plymouth, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:bda4df50-c4b4-d2f9-c6ab-8a0ccf4f7876

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2004 to Sep 15, 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: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 5, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 5, 2004
First registration: Apr 6, 2004
Dual registered: yes, broker-dealer
Other names: MICHAEL CLARK
IAPD individual key: 4701296

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
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Oct 26, 2016	n/a	yes	LOS ANGELES, CA\|Plymouth, MN	Current employment
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 19, 2008	Mar 15, 2012	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Feb 22, 2007	Aug 14, 2008	no	INDIANAPOLIS, IN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 6, 2004	Feb 21, 2007	no	INDIANAPOLIS, IN\|INDIANAPOLIS, IN	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
CHASE INVESTMENT SERVICES CORP.	CAPITAL CLIENT GROUP, INC.	Mar 15, 2012	Oct 26, 2016	1,686	Firm change after gap	Other
NATCITY INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	Aug 14, 2008	Aug 19, 2008	5	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	NATCITY INVESTMENTS, INC.	Feb 21, 2007	Feb 22, 2007	1	Firm change	Other

Relationships

Registered with (4)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: current employment
Oct 26, 2016 to presentfactForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 19, 2008 to Mar 15, 2012factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 22, 2007 to Aug 14, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 6, 2004 to Feb 21, 2007factForm ADV

Dated events

No dated event names this entity yet.