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 Allen Babcock
Feed of 09/14/2026
Also filed as Mike A. Babcock
At current firm
7 y
since Jul 1, 2019
In the industry
26 y
since Mar 25, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cambridge Investment Research Advisors, Inc. BD affiliated currentsince Jul 1, 2019 · Glen Carbon, Il
- B.B. Graham & Company, Inc. independent RIANov 23, 2015 to Jul 25, 2019 · Glen Carbon, Il
- Alton Capital Management, Inc. formerMar 7, 2013 to Nov 25, 2015 · Alton, Il
- MML Investors Services, LLC BD affiliatedJun 7, 2010 to Dec 6, 2012 · Chesterfield, Mo
- Alton Capital Management, Inc. formerDec 10, 2009 to Feb 2, 2010 · Alton, Il
Moves
a registration end followed by a registration begin elsewhere
- B.B. Graham & Company, Inc. to Cambridge Investment Research Advisors, Inc.left Jul 25, 2019, registered Jul 1, 2019 (-24 days) · RIA to affiliated broker-dealer or bank
- Alton Capital Management, Inc. to B.B. Graham & Company, Inc.left Nov 25, 2015, registered Nov 23, 2015 (-2 days) · Other
- MML Investors Services, LLC to Alton Capital Management, Inc.left Dec 6, 2012, registered Mar 7, 2013 (91 days) · Other
- Alton Capital Management, Inc. to MML Investors Services, LLCleft Feb 2, 2010, registered Jun 7, 2010 (125 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
- 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