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.
Registered advisor
Michael Andrew Rogers
Feed of 09/15/2026
Also filed as Michael A Rogers
At current firm
4 y
since Nov 15, 2021
In the industry
24 y
since Mar 18, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- J.P. Morgan Securities LLC wirehouse currentsince Nov 15, 2021 · Los Angeles, Ca
- Deutsche Bank Securities Inc. no RAUMJul 26, 2019 to Nov 23, 2021 · Los Angeles, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 14, 2007 to Jun 6, 2019 · Newport Beach, Ca
- Morgan Stanley & Co. LLC unclassifiedMar 30, 2006 to May 17, 2007 · Los Angeles, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 10, 2004 to Mar 3, 2006 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Deutsche Bank Securities Inc. to J.P. Morgan Securities LLCleft Nov 23, 2021, registered Nov 15, 2021 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Deutsche Bank Securities Inc.left Jun 6, 2019, registered Jul 26, 2019 (50 days) · Other
- Morgan Stanley & Co. LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 17, 2007, registered Jun 14, 2007 (28 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley & Co. LLCleft Mar 3, 2006, registered Mar 30, 2006 (27 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address