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•••••• E••••• F•••••

A••••••••• F•••••••• S•••••••• L••national BDMt. Plesasant, Sc dual registrantIAPD 4565494

Certified Financial Planner

Feed of 09/15/2026

Also filed as Mike E F•••••

At current firm

1 y

since Jun 6, 2025

In the industry

24 y

since Jan 14, 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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jun 6, 2025 · Charleston, Sc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 27, 2014 to Jun 13, 2025 · Mount Pleasant, Sc
F•••• C••••••• A•••• M••••••••• I•• BD affiliated
Apr 12, 2010 to Jan 28, 2014 · Raleigh, Nc
B••• A•••• M••••••••• I••• unclassified
Mar 19, 2008 to Mar 26, 2010 · Charleston, Sc
C•••••••• I••••••••• C••••••••• L•• former
Jan 30, 2004 to Nov 16, 2005 · Charlotte, Nc
K••• I••••••••• A••••••• unclassified
Feb 8, 2002 to Jan 21, 2004 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Jun 13, 2025, registered Jun 6, 2025 (-7 days) · Wirehouse to affiliated broker-dealer or bank
F•••• C••••••• A•••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 28, 2014, registered Jan 27, 2014 (-1 days) · Other
B••• A•••• M••••••••• I••• to F•••• C••••••• A•••• M••••••••• I••
left Mar 26, 2010, registered Apr 12, 2010 (17 days) · Other
C•••••••• I••••••••• C••••••••• L•• to B••• A•••• M••••••••• I•••
left Nov 16, 2005, registered Mar 19, 2008 (854 days) · Other
K••• I••••••••• A••••••• to C•••••••• I••••••••• C••••••••• L••
left Jan 21, 2004, registered Jan 30, 2004 (9 days) · Other

Signals

M•••••• E••••• F••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-06-06)
Jun 13, 2025 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address