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
Carl Michael Williams
Feed of 09/14/2026
Also filed as Carl Michael Williams
At current firm
2 y
since Jun 17, 2024
In the industry
25 y
since Nov 16, 2000 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Prospera Financial Services, Inc. BD affiliated currentsince Jun 17, 2024 · Peroria, Il
- LPL Financial LLC BD affiliatedApr 16, 2020 to Apr 23, 2024 · Peoria, Il
- Chapin Davis Asset Management independent RIAApr 16, 2013 to Apr 17, 2020 · Baltimore, Md
- Williams Investment Network, Inc. unclassifiedJul 5, 2001 to Dec 31, 2012 · Bartonville, Il
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Prospera Financial Services, Inc.left Apr 23, 2024, registered Jun 17, 2024 (55 days) · Affiliated broker-dealer or bank to another · moved with a team
- Chapin Davis Asset Management to LPL Financial LLCleft Apr 17, 2020, registered Apr 16, 2020 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Williams Investment Network, Inc. to Chapin Davis Asset Managementleft Dec 31, 2012, registered Apr 16, 2013 (106 days) · Other
Signals
- Carl Michael Williams left Lpl Financial Llc for Prospera Financial Services, Inc. (registered 2024-06-17)Apr 23, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address