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•••••• W• M••••

L•• F•••••••• L••BD affiliatedHouston, Txdual registrantIAPD 2510771

Certified Financial Planner

Feed of 09/14/2026

Also filed as Michael Warren Marks

At current firm

1 y

since Nov 6, 2024

In the industry

32 y

since Jul 8, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Nov 6, 2024 · Houston, Tx
J••• M••••• S••••••••• L•• wirehouse
Feb 3, 2015 to Nov 2, 2024 · Cypress, Tx
H•••••• W•••••• I••••••••• S••••••• I••• independent RIA
Jan 23, 2012 to Feb 11, 2015 · Houston, Tx
L•• F•••••••• L•• BD affiliated
May 17, 2005 to Jan 19, 2012 · Austin, Tx
C••• B•••••••• S•••••••• I••• former
May 10, 2002 to May 17, 2005 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to L•• F•••••••• L••
left Nov 2, 2024, registered Nov 6, 2024 (4 days) · Wirehouse to affiliated broker-dealer or bank
H•••••• W•••••• I••••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Feb 11, 2015, registered Feb 3, 2015 (-8 days) · Other
L•• F•••••••• L•• to H•••••• W•••••• I••••••••• S••••••• I•••
left Jan 19, 2012, registered Jan 23, 2012 (4 days) · Other
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 17, 2005, registered May 17, 2005 (0 days) · Other

Signals

M•••••• W• M•••• left J••• M••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2024-11-06)
Nov 2, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address