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•••••• R•• G••••

L•• F•••••••• L••BD affiliatedNorth Charleston, Scdual registrantIAPD 1999653

Feed of 09/14/2026

Also filed as Mike G••••

At current firm

2 y

since Sep 5, 2024

In the industry

36 y

since Dec 11, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Sep 5, 2024 · North Charleston, Sc
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Sep 11, 2024 · North Charleston, Sc
C••••• A•••••• N••••••• L•• former
Jun 9, 2021 to Jun 29, 2023 · North Charleston, Sc
V••• F•••••••• A•••••••• I••• BD affiliated
Jul 22, 2003 to Jun 9, 2021 · North Charleston, Sc

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Sep 11, 2024, registered Sep 5, 2024 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
V••• F•••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

M•••••• R•• G•••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-09-05)
Sep 11, 2024 · a•••••• firm change · 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address