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••• C••••••••• G••••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 3196459

Feed of 09/15/2026

Also filed as M••• C••••••••• G••••••

At current firm

2 y

since Mar 15, 2024

In the industry

27 y

since Sep 10, 1999 (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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Mar 15, 2024 · Columbus, Oh
S•••••• S••••• A••••••••• I••• former
Aug 4, 2023 to Dec 31, 2024 · Columbus, Oh
L•••••• D•••••• I••••••••• L•• independent RIA
Jul 25, 2022 to Jul 10, 2023 · Delaware, Oh
C••••••• M••••••••• I••••••••• A•••••••• L•• asset manager
Sep 20, 2017 to Jun 23, 2022 · Boston, Ma
C••••••• M••••••••• I••••••••• A•••••••• L•• asset manager
May 1, 2010 to Sep 4, 2012 · Minneapolis, Mn
B••• A•••••••• L•• former
Jul 22, 2005 to May 1, 2010 · Westerville, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••• S••••• A••••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Dec 31, 2024, registered Mar 15, 2024 (-291 days) · RIA to affiliated broker-dealer or bank · moved with a team
L•••••• D•••••• I••••••••• L•• to S•••••• S••••• A••••••••• I•••
left Jul 10, 2023, registered Aug 4, 2023 (25 days) · Other
C••••••• M••••••••• I••••••••• A•••••••• L•• to L•••••• D•••••• I••••••••• L••
left Jun 23, 2022, registered Jul 25, 2022 (32 days) · Other
B••• A•••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••
left May 1, 2010, registered May 1, 2010 (0 days) · corporate re-registration, not a move

Signals

M••• C••••••••• G•••••• left S•••••• S••••• A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-03-15)
Dec 31, 2024 · Advisor changed firm · fact
M••• C••••••••• G•••••• left L•••••• D•••••• I••••••••• L•• for S•••••• S••••• A••••••••• I••• (registered 2023-08-04)
Jul 10, 2023 · Advisor changed firm · fact
M••• C••••••••• G•••••• left C••••••• M••••••••• I••••••••• A•••••••• L•• for L•••••• D•••••• I••••••••• L•• (registered 2022-07-25)
Jun 23, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address