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.

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Registered advisor

M•••••• P• S•••••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 4567164

Certified Financial Planner

Feed of 09/15/2026

Also filed as Michael Sullivan

At current firm

4 y

since Sep 30, 2021

In the industry

23 y

since Oct 18, 2002 (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••••••• G••••• L•• BD affiliated current
since Sep 30, 2021 · Saugus, Ma
S••••••• P•••••• A•••••••• L••• institutional
Jul 1, 2020 to Sep 8, 2021 · Wakefield, Ma
A•••••••• F•••• M••••••••• L•• asset manager
Jan 30, 2017 to Jan 15, 2020 · Boston, Ma
A•••••••• F•••• M••••••••• L•• asset manager
Jan 4, 2010 to Dec 31, 2014 · San Francisco, Ca
E•••••••• I••••••••• M••••••••• C• unclassified
Sep 18, 2009 to Jan 4, 2010 · Boston, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Sep 5, 2006 · Burlington, Ma
Q•••• • R•••••• I••• unclassified
Feb 25, 2004 to Oct 20, 2004 · Reading, Ma

Moves

a registration end followed by a registration begin elsewhere

S••••••• P•••••• A•••••••• L••• to E•••••• A••••••• G••••• L••
left Sep 8, 2021, registered Sep 30, 2021 (22 days) · Other
A•••••••• F•••• M••••••••• L•• to S••••••• P•••••• A•••••••• L•••
left Jan 15, 2020, registered Jul 1, 2020 (168 days) · Other
E•••••••• I••••••••• M••••••••• C• to A•••••••• F•••• M••••••••• L••
left Jan 4, 2010, registered Jan 4, 2010 (0 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to E•••••••• I••••••••• M••••••••• C•
left Sep 5, 2006, registered Sep 18, 2009 (1109 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address