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

Patrick Michael Shaw

Mariner Independentindependent RIAMilford, Mi IA-onlyIAPD 5082341

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Mar 20, 2024

In the industry

20 y

since Aug 14, 2006 (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

Professional profile

what the firm itself publishes, with the page it was read from

Professional profile: linkedin.com/in/patrick-shaw-cfp/u00ae-crpc/u00ae-079489areportedadviserinfo.sec.govForm ADV Item 1.I, Sep 14, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

Mariner Independent independent RIA current
since Mar 20, 2024 · Milford, Mi
Lido independent RIA
Jan 25, 2023 to Mar 15, 2024 · Chicago, Il
Mariner Wealth Advisors former
Sep 12, 2016 to Mar 31, 2018 · Oakbrook Terrace, Il
Mariner BD affiliated
Sep 12, 2016 to Nov 7, 2022 · Oakbrook Terrace, Il
J.P. Morgan Securities LLC wirehouse
Apr 9, 2013 to Sep 21, 2016 · Naperville, Il
Charles Schwab & Co., Inc. national BD
Oct 22, 2009 to Apr 17, 2013 · Oak Brook, Il
Ameriprise Financial Services, LLC national BD
Aug 15, 2006 to Oct 7, 2009 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

Lido to Mariner Independent
left Mar 15, 2024, registered Mar 20, 2024 (5 days) · RIA to RIA
Mariner to Lido
left Nov 7, 2022, registered Jan 25, 2023 (79 days) · Affiliated broker-dealer or bank to independent RIA
Mariner Wealth Advisors to Mariner
left Mar 31, 2018, registered Sep 12, 2016 (-565 days) · Other · moved with a team
J.P. Morgan Securities LLC to Mariner Wealth Advisors
left Sep 21, 2016, registered Sep 12, 2016 (-9 days) · Other
Charles Schwab & Co., Inc. to J.P. Morgan Securities LLC
left Apr 17, 2013, registered Apr 9, 2013 (-8 days) · Affiliated broker-dealer or bank to wirehouse
Ameriprise Financial Services, LLC to Charles Schwab & Co., Inc.
left Oct 7, 2009, registered Oct 22, 2009 (15 days) · Affiliated broker-dealer or bank to another

Signals

Patrick Michael Shaw left Lido for Mariner Independent (registered 2024-03-20)
Mar 15, 2024 · Advisor changed firm · fact
Patrick Michael Shaw left Mariner for Lido (registered 2023-01-25)
Nov 7, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address