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 Stephen Hodges
Feed of 09/15/2026
Also filed as Mike Hodges
At current firm
7 y
since May 1, 2019
In the industry
39 y
since Jan 8, 1987 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince May 1, 2019 · Fort Myers, Fl
- Independent Financial Partners BD affiliatedDec 8, 2015 to Apr 26, 2019 · Ft Lauderdale, Fl
- Cetera Investment Services LLC formerFeb 15, 2013 to Sep 9, 2013 · St Cloud, Mn
- Pnc Wealth Management BD affiliatedMar 14, 2012 to Sep 20, 2012 · Naples, Fl
- Southern Trust Financial Planning formerDec 21, 2009 to Feb 24, 2012 · Sarasota, Fl
- Colonial Asset Management Inc unclassifiedAug 21, 2008 to Oct 29, 2009 · Ft. Myers, Fl
- First Horizon Advisors, Inc formerJan 2, 2006 to Feb 29, 2008 · Longwood, Fl
- First Horizon Advisors, Inc formerMar 12, 2004 to Nov 9, 2005 · Longwood, Fl
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Partners to LPL Financial LLCleft Apr 26, 2019, registered May 1, 2019 (5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Cetera Investment Services LLC to Independent Financial Partnersleft Sep 9, 2013, registered Dec 8, 2015 (820 days) · Other
- Pnc Wealth Management to Cetera Investment Services LLCleft Sep 20, 2012, registered Feb 15, 2013 (148 days) · Other
- Southern Trust Financial Planning to Pnc Wealth Managementleft Feb 24, 2012, registered Mar 14, 2012 (19 days) · Other
- Colonial Asset Management Inc to Southern Trust Financial Planningleft Oct 29, 2009, registered Dec 21, 2009 (53 days) · Other
- First Horizon Advisors, Inc to Colonial Asset Management Incleft Feb 29, 2008, registered Aug 21, 2008 (174 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