DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• W••••• M•••••••
Feed of 09/14/2026
Also filed as Mike M•••••••
At current firm
15 y
since Sep 19, 2011
In the industry
31 y
since Jul 13, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 19, 2011 · Glen Allen, Va
- O•••• I••••••••• I••• BD affiliatedOct 6, 2009 to Sep 22, 2011 · Mechanicsville, Va
- W•••• F•••• A••••••• wirehouseJun 20, 2002 to Oct 2, 2009 · Mechanicsville, Va
- W••••••• S••••••••• I••• unclassifiedMar 21, 2000 to Jun 20, 2002 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to L•• F•••••••• L••left Sep 22, 2011, registered Sep 19, 2011 (-3 days) · Other
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Oct 2, 2009, registered Oct 6, 2009 (4 days) · Other
- W••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 20, 2002 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address