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.

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Registered advisor

M•••••• L••••••••

O•••• W•••••• I•••BD affiliatedManhasset, Nydual registrantIAPD 4243712

Feed of 09/14/2026

Also filed as Mike L••••••••

At current firm

2 y

since Jan 19, 2024

In the industry

25 y

since Oct 19, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Jan 19, 2024 · Manhasset, Ny
W••••••• F•••••••• S•••••••• I••• former
Jan 27, 2020 to Jan 19, 2024 · Manhasset, Ny
L•• F•••••••• L•• BD affiliated
Dec 17, 2015 to Jan 31, 2020 · Franklin Square, Ny
C•••••• O•• A•••••••• L•• former
Jan 28, 2015 to Dec 21, 2015 · Seattle, Wa
C•••••• O•• F•••••••• A••••••• L•• unclassified
Jan 4, 2010 to Jan 28, 2015 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Jan 31, 2020, registered Jan 27, 2020 (-4 days) · Affiliated broker-dealer or bank to another
C•••••• O•• A•••••••• L•• to L•• F•••••••• L••
left Dec 21, 2015, registered Dec 17, 2015 (-4 days) · Other · moved with a team
C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••
left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move

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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address