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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

M•••••• B••••

I• F•••••••• A••••••• S••••••• L••independent RIACharlotte, Nc dual registrantIAPD 1242048

Feed of 09/15/2026

Also filed as Michael M. Balch

At current firm

2 y

since Dec 1, 2023

In the industry

42 y

since May 11, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I• F•••••••• A••••••• S••••••• L•• independent RIA current
since Dec 1, 2023 · Charlotte, Nc
I•• W••••• M••••••••• I••• BD affiliated
Jan 2, 2018 to Dec 20, 2022 · Wilmette, Il
C•••• C••••••• L•• former
Feb 5, 2015 to Dec 31, 2017 · Glen Ellyn, Il
G••• H••••• F•••••••• former
Jun 6, 2013 to Jan 2, 2015 · Chicago, Ca
N••••• mixed wealth
Dec 9, 2009 to Nov 28, 2011
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 1, 2005 to Jul 27, 2007 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

I•• W••••• M••••••••• I••• to I• F•••••••• A••••••• S••••••• L••
left Dec 20, 2022, registered Dec 1, 2023 (346 days) · Affiliated broker-dealer or bank to another
C•••• C••••••• L•• to I•• W••••• M••••••••• I•••
left Dec 31, 2017, registered Jan 2, 2018 (2 days) · Other
G••• H••••• F•••••••• to C•••• C••••••• L••
left Jan 2, 2015, registered Feb 5, 2015 (34 days) · Other
N••••• to G••• H••••• F••••••••
left Nov 28, 2011, registered Jun 6, 2013 (556 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••••
left Jul 27, 2007, registered Dec 9, 2009 (866 days) · Other

Signals

M•••••• B•••• left I•• W••••• M••••••••• I••• for I• F•••••••• A••••••• S••••••• L•• (registered 2023-12-01)
Dec 20, 2022 · Advisor changed firm · fact

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: Independent wealth managerderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address