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•••••

F•••• P••••••• W•••••• L••independent RIAScottsdale, AzIA-onlyIAPD 2790229

Feed of 09/14/2026

Also filed as Mike C•••••

At current firm

2 y

since May 1, 2024

In the industry

29 y

since Oct 28, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• P••••••• W•••••• L•• i••••••••• wealth current
since May 1, 2024 · Scottsdale, Az
I••••••••• C•••••• former
Jul 12, 2022 to Jul 30, 2024 · Nashville, Tn
H•••• • H•••• W••••• M••••••••• former
Dec 22, 2017 to Jul 15, 2022 · Scottsdale, Az
I••••••••• F•••••••• G••••• L•• BD affiliated
Mar 8, 2006 to Jul 1, 2019 · San Diego, Ca
A•••• A••••••• S•••••••• L•• unclassified
Aug 5, 2005 to Dec 31, 2007 · Scottsdale, Az
O•••• W•••••• I••• BD affiliated
Jan 28, 2004 to Mar 15, 2006 · Scottsdale, Az
V••••• S••••••••• C••••••••• unclassified
Mar 18, 2001 to Jan 23, 2004 · Worcester, Ma

Moves

a registration end followed by a registration begin elsewhere

I••••••••• C•••••• to F•••• P••••••• W•••••• L••
left Jul 30, 2024, registered May 1, 2024 (-90 days) · RIA to RIA · moved with a team
H•••• • H•••• W••••• M••••••••• to I••••••••• C••••••
left Jul 15, 2022, registered Jul 12, 2022 (-3 days) · RIA to RIA
I••••••••• F•••••••• G••••• L•• to H•••• • H•••• W••••• M•••••••••
left Jul 1, 2019, registered Dec 22, 2017 (-556 days) · Other
A•••• A••••••• S•••••••• L•• to I••••••••• F•••••••• G••••• L••
left Dec 31, 2007, registered Mar 8, 2006 (-663 days) · Other
O•••• W•••••• I••• to A•••• A••••••• S•••••••• L••
left Mar 15, 2006, registered Aug 5, 2005 (-222 days) · Other
V••••• S••••••••• C••••••••• to O•••• W•••••• I•••
left Jan 23, 2004, registered Jan 28, 2004 (5 days) · Other

Signals

M•••••• J••••• C••••• left I••••••••• C•••••• for F•••• P••••••• W•••••• L•• (registered 2024-05-01)
Jul 30, 2024 · Advisor changed firm · fact
M•••••• J••••• C••••• left H•••• • H•••• W••••• M••••••••• for I••••••••• C•••••• (registered 2022-07-12)
Jul 15, 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: Independent wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address