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••• B•••••••

C••••• U•••• I••••••••• S•••••••state registeredRaleigh, Nc dual registrantIAPD 4524634

Feed of 09/15/2026

Also filed as Mike B•••••••

At current firm

2 y

since Sep 18, 2024

In the industry

24 y

since Jul 17, 2002 (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••••• U•••• I••••••••• S••••••• state registered current
since Sep 18, 2024 · Wilmington, Nc
W•••• F•••• A••••••• wirehouse
Dec 17, 2021 to Jan 19, 2024 · Raleigh, Nc
T••••• A••••••• S•••••••• I••• BD affiliated
Apr 24, 2018 to Jul 12, 2021 · Durham, Nc
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
Oct 6, 2016 to Jan 11, 2018 · Charlotte, Nc
S••••••• I••••••••• S•••••••• I••• former
Apr 22, 2015 to Sep 9, 2016 · Raleigh, Nc
W•••• F•••• A••••••• wirehouse
May 18, 2006 to Apr 9, 2015 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to C••••• U•••• I••••••••• S•••••••
left Jan 19, 2024, registered Sep 18, 2024 (243 days) · Wirehouse to a state-registered adviser
T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jul 12, 2021, registered Dec 17, 2021 (158 days) · Affiliated broker-dealer or bank to wirehouse
F•••• C••••••• I••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Jan 11, 2018, registered Apr 24, 2018 (103 days) · Other
S••••••• I••••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••
left Sep 9, 2016, registered Oct 6, 2016 (27 days) · Other
W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••
left Apr 9, 2015, registered Apr 22, 2015 (13 days) · Other

Signals

M•••••• A••• B••••••• left W•••• F•••• A••••••• for C••••• U•••• I••••••••• S••••••• (registered 2024-09-18)
Jan 19, 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: STATE REGISTEREDderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address