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 Graff

Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseSandy, Utdual registrantIAPD 4239369

Feed of 09/14/2026

Also filed as Michael Andrew Graff

At current firm

0 y

since Nov 12, 2025

In the industry

26 y

since Aug 16, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse current
since Nov 12, 2025 · Sandy, Ut
Valic Financial Advisors, Inc. BD affiliated
Sep 9, 2024 to Oct 29, 2025 · Salt Lake City, Ut
Iams Wealth Management, LLC independent RIA
Apr 2, 2024 to Jun 11, 2024 · Lindon, Ut
Morgan Stanley wirehouse
Nov 22, 2022 to Feb 22, 2024 · Sandy, Ut
E*Trade Capital Management, LLC former
Mar 18, 2009 to Sep 5, 2023 · Arlington, Va

Moves

a registration end followed by a registration begin elsewhere

Valic Financial Advisors, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 29, 2025, registered Nov 12, 2025 (14 days) · Affiliated broker-dealer or bank to wirehouse
Iams Wealth Management, LLC to Valic Financial Advisors, Inc.
left Jun 11, 2024, registered Sep 9, 2024 (90 days) · RIA to affiliated broker-dealer or bank
Morgan Stanley to Iams Wealth Management, LLC
left Feb 22, 2024, registered Apr 2, 2024 (40 days) · Wirehouse to independent RIA
E*Trade Capital Management, LLC to Morgan Stanley
left Sep 5, 2023, registered Nov 22, 2022 (-287 days) · corporate re-registration, not a move

Signals

Michael Andrew Graff left Valic Financial Advisors, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-11-12)
Oct 29, 2025 · Advisor changed firm · fact
Michael Andrew Graff left Iams Wealth Management, Llc for Valic Financial Advisors, Inc. (registered 2024-09-09)
Jun 11, 2024 · Advisor changed firm · fact
Michael Andrew Graff left Morgan Stanley for Iams Wealth Management, Llc (registered 2024-04-02)
Feb 22, 2024 · 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address