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•••••• N•••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 1801770

Certified Financial Planner

Feed of 09/14/2026

Also filed as Mike Nadeau

At current firm

4 y

since Sep 30, 2021

In the industry

32 y

since Apr 22, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Sep 30, 2021 · Stamford, Ct
R•• C•••••• M••••••• L•• national BD
Feb 13, 2009 to Jan 4, 2022 · Portland, Me
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 7, 2003 to Feb 18, 2009 · Portland, Me
S•••••••• A••••••• L•• national BD
Jul 2, 2002 to May 13, 2003 · Portland, Me

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to S•••••• P••••••• I••••••••• A•••••••• L••
left Jan 4, 2022, registered Sep 30, 2021 (-96 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••
left Feb 18, 2009, registered Feb 13, 2009 (-5 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 13, 2003, registered May 7, 2003 (-6 days) · Affiliated broker-dealer or bank to wirehouse

Signals

M•••••• B•••••• N••••• left R•• C•••••• M••••••• L•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2021-09-30)
Jan 4, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address