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

R••••• M•••••• M••••••

C•••••• S••••• • C••• I•••national BDNewtown Square, Pa dual registrantIAPD 4291592

Feed of 09/15/2026

Also filed as Mike R••••• M••••••

At current firm

0 y

since Jan 31, 2026

In the industry

25 y

since Jan 11, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jan 31, 2026 · Boston, Ma
N•••••• A••••••• BD affiliated
Oct 29, 2025 to Jan 6, 2026 · Pittsburgh, Pa
R•••••• I••••••••• asset manager
Mar 28, 2019 to Nov 20, 2023 · Seattle, Wa
C•••••• S••••• • C••• I••• national BD
Feb 1, 2016 to Mar 13, 2019 · Radnor, Pa
C•••••• S••••• • C••• I••• national BD
Aug 28, 2013 to Sep 21, 2015 · Radnor, Pa
G•••• W••••••• L••• unclassified
Dec 5, 2012 to Jul 15, 2013 · Philadelphia, Pa
G•••• W••••••• L••• unclassified
Aug 31, 2009 to Feb 28, 2011 · Philadelphia, Pa
P•••• A•••••••• I••• asset manager
Aug 17, 2009 to Aug 24, 2009 · Broomall, Pa
L•••••• F•••••••• D••••••••• I••• unclassified
Jul 6, 2005 to Aug 15, 2008 · Philadelphia, Pa
C••• F•••••••• S•••••••• L••• former
Apr 19, 2002 to Jul 11, 2003 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

N•••••• A••••••• to C•••••• S••••• • C••• I•••
left Jan 6, 2026, registered Jan 31, 2026 (25 days) · Affiliated broker-dealer or bank to another
R•••••• I••••••••• to N•••••• A•••••••
left Nov 20, 2023, registered Oct 29, 2025 (709 days) · Other
C•••••• S••••• • C••• I••• to R•••••• I•••••••••
left Mar 13, 2019, registered Mar 28, 2019 (15 days) · Other
G•••• W••••••• L••• to C•••••• S••••• • C••• I•••
left Jul 15, 2013, registered Aug 28, 2013 (44 days) · Other
P•••• A•••••••• I••• to G•••• W••••••• L•••
left Aug 24, 2009, registered Aug 31, 2009 (7 days) · Other
L•••••• F•••••••• D••••••••• I••• to P•••• A•••••••• I•••
left Aug 15, 2008, registered Aug 17, 2009 (367 days) · Other
C••• F•••••••• S•••••••• L••• to L•••••• F•••••••• D••••••••• I•••
left Jul 11, 2003, registered Jul 6, 2005 (726 days) · Other

Signals

R••••• M•••••• M•••••• left N•••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2026-01-31)
Jan 6, 2026 · Advisor changed firm · fact
R••••• M•••••• M•••••• left R•••••• I••••••••• for N•••••• A••••••• (registered 2025-10-29)
Nov 20, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address