DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Michael Edward Moss
Feed of 09/14/2026
Also filed as Mick Moss
At current firm
5 y
since Jan 31, 2021
In the industry
39 y
since Apr 24, 1987 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Independent Financial Group, LLC BD affiliated currentsince Jan 31, 2021 · Reno, Nv
- First Allied Advisory Services, Inc. formerJul 2, 2012 to Jan 5, 2015 · Reno, Nv
- First Allied Securities, Inc. formerJan 20, 2011 to Jul 2, 2012 · San Diego, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 7, 2005 to Jan 20, 2011 · Reno, Nv
- Wells Fargo Investments, LLC unclassifiedFeb 7, 2005 to Apr 14, 2005 · Carson City, Nv
Moves
a registration end followed by a registration begin elsewhere
- First Allied Advisory Services, Inc. to Independent Financial Group, LLCleft Jan 5, 2015, registered Jan 31, 2021 (2218 days) · Other · moved with a team
- First Allied Securities, Inc. to First Allied Advisory Services, Inc.left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to First Allied Securities, Inc.left Jan 20, 2011, registered Jan 20, 2011 (0 days) · Other
- Wells Fargo Investments, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 14, 2005, registered Apr 7, 2005 (-7 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address