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 Willis Frank
Certified Financial Planner
Feed of 09/14/2026
Also filed as Mike Frank
At current firm
3 y
since Jan 3, 2023
In the industry
37 y
since Sep 7, 1989 (earliest exam, job or registration)
Prior registered firms
5
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
- LPL Financial LLC BD affiliated currentsince Jan 3, 2023 · Delavan, Wi
- Cetera Investment Advisers LLC BD affiliatedSep 18, 2017 to Jan 18, 2023 · Saint Charles, Il
- Sage Private Wealth Group, LLC independent RIANov 18, 2014 to Sep 12, 2017 · Wheaton, Il
- Raymond James Financial Services Advisors, Inc BD affiliatedJul 21, 2014 to Sep 21, 2017 · Saint Charles, Il
- Frank Advisory Services, Inc. unclassifiedJan 2, 2002 to Dec 31, 2014 · St. Charles, Il
- LPL Financial LLC BD affiliatedApr 12, 1998 to Aug 5, 2014 · St. Charles, Il
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to LPL Financial LLCleft Jan 18, 2023, registered Jan 3, 2023 (-15 days) · Affiliated broker-dealer or bank to independent RIA
- Raymond James Financial Services Advisors, Inc to Sage Private Wealth Group, LLCleft Sep 21, 2017, registered Nov 18, 2014 (-1038 days) · Other · moved with a team
- Sage Private Wealth Group, LLC to Cetera Investment Advisers LLCleft Sep 12, 2017, registered Sep 18, 2017 (6 days) · Other
- Frank Advisory Services, Inc. to Raymond James Financial Services Advisors, Incleft Dec 31, 2014, registered Jul 21, 2014 (-163 days) · Other
- LPL Financial LLC to Frank Advisory Services, Inc.left Aug 5, 2014, registered Jan 2, 2002 (-4598 days) · Other
Signals
- Michael Willis Frank left Cetera Investment Advisers Llc for Lpl Financial Llc (registered 2023-01-03)Jan 18, 2023 · 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address