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•••••• H••• S••••

M••••••BD affiliatedOakbrook Terrace, IlIA-onlyIAPD 4056682

Certified Financial Planner

Feed of 09/14/2026

Also filed as Mike S••••

At current firm

2 y

since Nov 3, 2023

In the industry

26 y

since Feb 5, 2000 (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

M•••••• BD affiliated current
since Nov 3, 2023 · Oakbrook Terrace, Il
U••••• C•••••• F•••••••• A••••••• independent RIA
Dec 24, 2019 to Dec 22, 2023 · Deerfield, Il
D• F•••••••• C••••••••• L•• former
Mar 16, 2016 to Oct 4, 2018 · Downers Grove, Il
F•••• T•••• S••••••••• I••• BD affiliated
Oct 3, 2013 to Feb 16, 2016 · Westmont, Il
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Jun 15, 2001 to Jun 4, 2013 · Oak Brook, Il

Moves

a registration end followed by a registration begin elsewhere

U••••• C•••••• F•••••••• A••••••• to M••••••
left Dec 22, 2023, registered Nov 3, 2023 (-49 days) · RIA to affiliated broker-dealer or bank
D• F•••••••• C••••••••• L•• to U••••• C•••••• F•••••••• A•••••••
left Oct 4, 2018, registered Dec 24, 2019 (446 days) · RIA to affiliated broker-dealer or bank
F•••• T•••• S••••••••• I••• to D• F•••••••• C••••••••• L••
left Feb 16, 2016, registered Mar 16, 2016 (29 days) · Other
T• R••• P•••• A••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••
left Jun 4, 2013, registered Oct 3, 2013 (121 days) · Other

Signals

M•••••• H••• S•••• left U••••• C•••••• F•••••••• A••••••• for Mariner (registered 2023-11-03)
Dec 22, 2023 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address