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 L Thompson

Rwm Capital, LLCindependent RIASugar Land, TxIA-onlyIAPD 4880597

Feed of 09/14/2026

Also filed as Michael L Thompson

At current firm

3 y

since May 16, 2023

In the industry

21 y

since Mar 7, 2005 (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

Rwm Capital, LLC independent RIA current
since May 16, 2023 · Sugar Land, Tx
Strategic Wealth Investment Group, LLC independent RIA
Aug 8, 2022 to Mar 2, 2023 · Denver, Co
MML Investors Services, LLC BD affiliated
Jan 31, 2022 to Apr 26, 2022 · Denver, Co
Northwestern Mutual Investment Services,LLC no RAUM
Aug 2, 2017 to Nov 3, 2020 · Englewood, Co
Charles Schwab & Co., Inc. national BD
Apr 21, 2008 to Jun 23, 2017 · Englewood, Co
U.S. Bancorp Investments, Inc. former
Mar 30, 2007 to Jan 9, 2008 · Denver, Co
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 24, 2005 to Mar 2, 2007 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

Strategic Wealth Investment Group, LLC to Rwm Capital, LLC
left Mar 2, 2023, registered May 16, 2023 (75 days) · RIA to RIA
MML Investors Services, LLC to Strategic Wealth Investment Group, LLC
left Apr 26, 2022, registered Aug 8, 2022 (104 days) · Affiliated broker-dealer or bank to independent RIA
Northwestern Mutual Investment Services,LLC to MML Investors Services, LLC
left Nov 3, 2020, registered Jan 31, 2022 (454 days) · Other
Charles Schwab & Co., Inc. to Northwestern Mutual Investment Services,LLC
left Jun 23, 2017, registered Aug 2, 2017 (40 days) · Other
U.S. Bancorp Investments, Inc. to Charles Schwab & Co., Inc.
left Jan 9, 2008, registered Apr 21, 2008 (103 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to U.S. Bancorp Investments, Inc.
left Mar 2, 2007, registered Mar 30, 2007 (28 days) · Other

Signals

Michael L Thompson left Strategic Wealth Investment Group, Llc for Rwm Capital, Llc (registered 2023-05-16)
Mar 2, 2023 · Advisor changed firm · fact
Michael L Thompson left Mml Investors Services, Llc for Strategic Wealth Investment Group, Llc (registered 2022-08-08)
Apr 26, 2022 · 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address