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.
Registered advisor
Michael Anthony Duboise
Certified Financial Planner
Feed of 09/15/2026
Also filed as Michael Duboise
At current firm
5 y
since Dec 14, 2020
In the industry
24 y
since Jul 12, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Prospera Financial Services, Inc. BD affiliated currentsince Dec 14, 2020 · El Paso, Tx
- Waddell & Reed formerDec 7, 2020 to Dec 16, 2020 · Las Vegas, Nv
- Morgan Stanley wirehouseJun 1, 2009 to Dec 1, 2020 · Albuquerque, Nm
- Citigroup Global Markets Inc. BD affiliatedJun 23, 2004 to Jun 1, 2009 · Albuquerque, Nm
- Ws Griffith Securities, Inc. unclassifiedMar 13, 2003 to Jun 17, 2004 · Albuquerque , Nm
Moves
a registration end followed by a registration begin elsewhere
- Waddell & Reed to Prospera Financial Services, Inc.left Dec 16, 2020, registered Dec 14, 2020 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- Morgan Stanley to Waddell & Reedleft Dec 1, 2020, registered Dec 7, 2020 (6 days) · Wirehouse to affiliated broker-dealer or bank
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Ws Griffith Securities, Inc. to Citigroup Global Markets Inc.left Jun 17, 2004, registered Jun 23, 2004 (6 days) · Other
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address