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•••••• E••••• C••••••

K•• P••••••• L••state registeredRichardson, TxIA-onlyIAPD 2157914

Feed of 09/14/2026

Also filed as Mike C••••••

At current firm

0 y

since Jul 14, 2026

In the industry

35 y

since Sep 13, 1991 (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

K•• P••••••• L•• state registered current
since Jul 14, 2026 · Richardson, Tx
T••••• W•••••• L••••• independent RIA
Jun 1, 2021 to May 1, 2026 · Frisco, Tx
H•• I••••••••• P•••••••• L•• independent RIA
Jul 3, 2020 to Jun 7, 2021 · Austin, Tx
T•• A•••••••• L• former
May 7, 2020 to Dec 8, 2020 · Austin, Tx
L•• F•••••••• L•• BD affiliated
May 16, 2019 to Mar 11, 2020 · Dallas, Tx
C•••••• S••••• • C••• I••• national BD
Oct 31, 2014 to May 29, 2019 · Dallas, Tx
A••••• A•• P••••••• S••••••• BD affiliated
Sep 23, 2013 to Oct 14, 2014 · Omaha, Ne
M••••• S•••••• wirehouse
Apr 2, 2012 to Sep 12, 2013 · Lincoln, Ne
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Mar 30, 2012 · Norfolk, Ne
W•••• F•••• I••••••••• L•• unclassified
Jul 25, 2008 to Jan 3, 2011 · Lincoln, Ne
C•••••• S••••• • C••• I••• national BD
Sep 29, 2003 to Jul 14, 2008 · Lincoln, Ne

Moves

a registration end followed by a registration begin elsewhere

T••••• W•••••• L••••• to K•• P••••••• L••
left May 1, 2026, registered Jul 14, 2026 (74 days) · RIA to a state-registered adviser
H•• I••••••••• P•••••••• L•• to T••••• W•••••• L•••••
left Jun 7, 2021, registered Jun 1, 2021 (-6 days) · Other
T•• A•••••••• L• to H•• I••••••••• P•••••••• L••
left Dec 8, 2020, registered Jul 3, 2020 (-158 days) · Other · moved with a team
L•• F•••••••• L•• to T•• A•••••••• L•
left Mar 11, 2020, registered May 7, 2020 (57 days) · Other
C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left May 29, 2019, registered May 16, 2019 (-13 days) · Affiliated broker-dealer or bank to independent RIA
A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••
left Oct 14, 2014, registered Oct 31, 2014 (17 days) · Other
M••••• S•••••• to A••••• A•• P••••••• S•••••••
left Sep 12, 2013, registered Sep 23, 2013 (11 days) · Other
W•••• F•••• A••••••• to M••••• S••••••
left Mar 30, 2012, registered Apr 2, 2012 (3 days) · Wirehouse to wirehouse
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to W•••• F•••• I••••••••• L••
left Jul 14, 2008, registered Jul 25, 2008 (11 days) · Other

Signals

M•••••• E••••• C•••••• left T••••• W•••••• L••••• for K•• P••••••• L•• (registered 2026-07-14)
May 1, 2026 · 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: STATE REGISTEREDderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address