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
Shawn Michael Mihal
Feed of 09/14/2026
At current firm
3 y
since Sep 1, 2023
In the industry
21 y
since Jan 24, 2005 (earliest exam, job or registration)
Prior registered firms
6
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Wealth, Inc. BD affiliated currentsince Sep 1, 2023 · Scottsdale, Az
- Sagepoint Financial, Inc. formerMay 24, 2023 to Sep 1, 2023 · Fort Lauderdale, Fl
- LPL Financial LLC BD affiliatedJan 3, 2022 to Oct 20, 2022 · Ft. Lauderdale, Fl
- LPL Financial LLC BD affiliatedJul 26, 2021 to Dec 16, 2021 · San Diego, Ca
- Waddell & Reed formerApr 9, 2015 to Oct 19, 2021 · Overland Park, Ks
- Transamerica Financial Advisors, LLC BD affiliatedSep 15, 2010 to Mar 31, 2015 · St. Petersburg, Fl
- Great American Advisors, Inc. formerJan 24, 2005 to Aug 26, 2010 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- Sagepoint Financial, Inc. to Osaic Wealth, Inc.left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- LPL Financial LLC to Sagepoint Financial, Inc.left Oct 20, 2022, registered May 24, 2023 (216 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Waddell & Reed to LPL Financial LLCleft Oct 19, 2021, registered Jul 26, 2021 (-85 days) · Affiliated broker-dealer or bank to another
- Transamerica Financial Advisors, LLC to Waddell & Reedleft Mar 31, 2015, registered Apr 9, 2015 (9 days) · Other
- Great American Advisors, Inc. to Transamerica Financial Advisors, LLCleft Aug 26, 2010, registered Sep 15, 2010 (20 days) · Other
Signals
- Shawn Michael Mihal left Lpl Financial Llc for Sagepoint Financial, Inc. (registered 2023-05-24)Oct 20, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address