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•••••• M•••• E••••

E•••• W••••• A•••••••• L••no RAUMMadison, Aldual registrantIAPD 4342577

Feed of 09/14/2026

Also filed as Mike Ellis

At current firm

0 y

since Jul 29, 2026

In the industry

25 y

since Mar 29, 2001 (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

E•••• W••••• A•••••••• L•• no RAUM current
since Jul 29, 2026 · Madison, Al
S••••• M••••••••• independent RIA
Jun 28, 2024 to Jun 30, 2026 · North Little Rock, Ar
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 20, 2015 to Jul 8, 2024 · Huntsville, Al
E••••• J•••• national BD
Jan 10, 2007 to Jan 20, 2015 · Madison, Al

Moves

a registration end followed by a registration begin elsewhere

S••••• M••••••••• to E•••• W••••• A•••••••• L••
left Jun 30, 2026, registered Jul 29, 2026 (29 days) · RIA to a newly registered adviser
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••• M•••••••••
left Jul 8, 2024, registered Jun 28, 2024 (-10 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 20, 2015, registered Jan 20, 2015 (0 days) · Other

Signals

M•••••• M•••• E•••• left S••••• M••••••••• for E•••• W••••• A•••••••• L•• (registered 2026-07-29)
Jun 30, 2026 · Advisor changed firm · fact
M•••••• M•••• E•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for S••••• M••••••••• (registered 2024-06-28)
Jul 8, 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: No RAUM reportedderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address