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• D••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedTraverse City, Midual registrantIAPD 4983599

Certified Financial Planner

Feed of 09/14/2026

Also filed as M••••• Shea Phillips

At current firm

2 y

since Apr 22, 2024

In the industry

21 y

since Jul 19, 2005 (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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Apr 22, 2024 · Traverse City, Mi
S••••••••• A•••••• A•••••••• I••• former
Dec 8, 2014 to Apr 22, 2024 · Traverse City, Mi
S•••••••• F••••••••• I••• former
Mar 31, 2010 to Dec 11, 2014 · Traverse City, Mi

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 22, 2024, registered Apr 22, 2024 (0 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Dec 11, 2014, registered Dec 8, 2014 (-3 days) · Other

Signals

M••••• P• D•••••• left S••••••••• A•••••• A•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-04-22)
Apr 22, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address