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•••••• J••••• C••••••••

A••••• A•• P••••••• S•••••••BD affiliatedFrisco, Tx dual registrantIAPD 2294165

Feed of 09/15/2026

Also filed as Mike Joseph Caulfield

At current firm

0 y

since Feb 2, 2026

In the industry

26 y

since May 15, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• A•• P••••••• S••••••• BD affiliated current
since Feb 2, 2026 · Frisco, Tx
L•• F•••••••• L•• BD affiliated
May 21, 2025 to Aug 21, 2025 · Flower Mound, Tx
L•• E••••••••• L•• BD affiliated
Oct 18, 2024 to Jun 26, 2025 · Fort Mill, Sc
F•••• C•••••• A••••••• S••••••• BD affiliated
Apr 19, 2024 to Oct 1, 2024 · Fort Worth, Tx
C•••••• S••••• • C••• I••• national BD
Nov 18, 2021 to Jan 10, 2024 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
May 22, 2018 to Sep 7, 2023 · Southlake, Tx
T• A••••••••• I••• former
Nov 13, 2014 to Oct 14, 2022 · Jersey City, Nj
C•••• I••••••••• S••••••••• I••• unclassified
Jul 21, 2010 to Dec 31, 2011 · Dallas, Tx
L•• F•••••••• L•• BD affiliated
Jul 11, 2005 to Feb 12, 2009 · Fort Mill, Sc

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••
left Aug 21, 2025, registered Feb 2, 2026 (165 days) · Affiliated broker-dealer or bank to another
L•• E••••••••• L•• to L•• F•••••••• L••
left Jun 26, 2025, registered May 21, 2025 (-36 days) · Affiliated broker-dealer or bank to another
F•••• C•••••• A••••••• S••••••• to L•• E••••••••• L••
left Oct 1, 2024, registered Oct 18, 2024 (17 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
C•••••• S••••• • C••• I••• to F•••• C•••••• A••••••• S•••••••
left Jan 10, 2024, registered Apr 19, 2024 (100 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Nov 18, 2021 (-658 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered May 22, 2018 (-1606 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••••• I••• to T• A••••••••• I•••
left Dec 31, 2011, registered Nov 13, 2014 (1048 days) · Other
L•• F•••••••• L•• to C•••• I••••••••• S••••••••• I•••
left Feb 12, 2009, registered Jul 21, 2010 (524 days) · Other

Signals

M•••••• J••••• C•••••••• left L•• F•••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2026-02-02)
Aug 21, 2025 · Advisor changed firm · fact
M•••••• J••••• C•••••••• left L•• E••••••••• L•• for L•• F•••••••• L•• (registered 2025-05-21)
Jun 26, 2025 · Advisor changed firm · fact
M•••••• J••••• C•••••••• left F•••• C•••••• A••••••• S••••••• for L•• E••••••••• L•• (registered 2024-10-18)
Oct 1, 2024 · Advisor changed firm · fact
M•••••• J••••• C•••••••• left C•••••• S••••• • C••• I••• for F•••• C•••••• A••••••• S••••••• (registered 2024-04-19)
Jan 10, 2024 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address