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•••••• A••• W•••••••

E••••• A•••••••• L••state registeredZepher Cove, Nv IA-onlyIAPD 2229614

Feed of 09/14/2026

Also filed as Mike W•••••••

At current firm

2 y

since Jul 10, 2024

In the industry

34 y

since May 15, 1992 (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

E••••• A•••••••• L•• state registered current
since Jul 10, 2024 · San Diego, Ca
K•••••• I••••••••• M••••••••• I••• independent RIA
Jun 16, 2022 to Jul 2, 2024 · Los Angeles, Ca
C••••••••• W•••••• L•• independent RIA
Feb 25, 2020 to Jun 27, 2022 · Overland Park, Ks
C••••••••• S••••••••• L•• BD affiliated
Aug 16, 2018 to Feb 19, 2020 · San Diego, Ca
K••••• A••••••• S•••••••• L•• BD affiliated
Oct 31, 2016 to Aug 16, 2018 · San Diego, Ca
F•••• F•••••••• G••••• I••• former
Sep 10, 2013 to Nov 7, 2016 · San Diego, Ca
K•• W••• I••••••••• L•• unclassified
Aug 26, 2013 to Oct 8, 2013 · San Gabriel, Ca
F•• S••••••••• C••••••••• former
Jun 24, 2003 to Aug 23, 2013 · San Diego, Ca
M••••• S•••••• D• I••• unclassified
Apr 21, 1999 to Nov 26, 2002 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

K•••••• I••••••••• M••••••••• I••• to E••••• A•••••••• L••
left Jul 2, 2024, registered Jul 10, 2024 (8 days) · RIA to a state-registered adviser · moved with a team
C••••••••• W•••••• L•• to K•••••• I••••••••• M••••••••• I•••
left Jun 27, 2022, registered Jun 16, 2022 (-11 days) · RIA to RIA · moved with a team
C••••••••• S••••••••• L•• to C••••••••• W•••••• L••
left Feb 19, 2020, registered Feb 25, 2020 (6 days) · Affiliated broker-dealer or bank to independent RIA
K••••• A••••••• S•••••••• L•• to C••••••••• S••••••••• L••
left Aug 16, 2018, registered Aug 16, 2018 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
F•••• F•••••••• G••••• I••• to K••••• A••••••• S•••••••• L••
left Nov 7, 2016, registered Oct 31, 2016 (-7 days) · Other · moved with a team
K•• W••• I••••••••• L•• to F•••• F•••••••• G••••• I•••
left Oct 8, 2013, registered Sep 10, 2013 (-28 days) · Other
F•• S••••••••• C••••••••• to K•• W••• I••••••••• L••
left Aug 23, 2013, registered Aug 26, 2013 (3 days) · Other
M••••• S•••••• D• I••• to F•• S••••••••• C•••••••••
left Nov 26, 2002, registered Jun 24, 2003 (210 days) · Other

Signals

M•••••• A••• W••••••• left K•••••• I••••••••• M••••••••• I••• for E••••• A•••••••• L•• (registered 2024-07-10)
Jul 2, 2024 · Advisor changed firm · fact
M•••••• A••• W••••••• left C••••••••• W•••••• L•• for K•••••• I••••••••• M••••••••• I••• (registered 2022-06-16)
Jun 27, 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: STATE REGISTEREDderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address