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•••••• A• C•••••••••

E•••••••• A•••••••• L••national BDCincinnati, Ohdual registrantIAPD 4299618

Certified Financial Planner

Feed of 09/14/2026

Also filed as Mike C•••••••••

At current firm

2 y

since Apr 2, 2024

In the industry

25 y

since Nov 28, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Apr 2, 2024 · Cincinnati, Oh
O•••• I••••••••• I••• BD affiliated
Apr 21, 2014 to Apr 2, 2024 · Coldwater, Mi
S••••••• I••••••••• I••• former
Dec 5, 2011 to Apr 21, 2014 · Columbus, Oh
L•• F•••••••• L•• BD affiliated
May 19, 2011 to Nov 30, 2011 · Cincinnati, Oh
S••••• F•••••••• S•••••••• I••• former
Aug 21, 2008 to May 19, 2011 · Cincinnati, Oh
E•••• N••••••• S••••••••• I••• former
Aug 24, 2005 to Jul 15, 2008 · Mason, Oh
C••••• I••••••••• S••••••• L•• former
Feb 7, 2005 to Sep 1, 2005 · Mason, Oh
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Sep 27, 2002 to Jan 10, 2005 · Marietta, Oh

Moves

a registration end followed by a registration begin elsewhere

O•••• I••••••••• I••• to E•••••••• A•••••••• L••
left Apr 2, 2024, registered Apr 2, 2024 (0 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• I••• to O•••• I••••••••• I•••
left Apr 21, 2014, registered Apr 21, 2014 (0 days) · Other
L•• F•••••••• L•• to S••••••• I••••••••• I•••
left Nov 30, 2011, registered Dec 5, 2011 (5 days) · Other
S••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 19, 2011, registered May 19, 2011 (0 days) · Other
E•••• N••••••• S••••••••• I••• to S••••• F•••••••• S•••••••• I•••
left Jul 15, 2008, registered Aug 21, 2008 (37 days) · Other
C••••• I••••••••• S••••••• L•• to E•••• N••••••• S••••••••• I•••
left Sep 1, 2005, registered Aug 24, 2005 (-8 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••
left Jan 10, 2005, registered Feb 7, 2005 (28 days) · Other

Signals

M•••••• A• C••••••••• left O•••• I••••••••• I••• for E•••••••• A•••••••• L•• (registered 2024-04-02)
Apr 2, 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: 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