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•••••• T• L••••••
Feed of 09/14/2026
Also filed as Mike L••••••
At current firm
4 y
since Oct 13, 2021
In the industry
27 y
since Oct 17, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 13, 2021 · San Diego, Ca
- C••• F•••••••• S•••••••• L••• formerJun 23, 2015 to Oct 25, 2021 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 26, 2011 to Nov 17, 2014 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to C••••••••• F•••••••• N••••••left Oct 25, 2021, registered Oct 13, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Nov 17, 2014, registered Jun 23, 2015 (218 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address