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•••••• S•••• W•••••

N••• F•••••• I••••••••• S•••••••• L••BD affiliatedSaint Petersburg, Fl dual registrantIAPD 5138136

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as Mike Wooten

At current firm

2 y

since May 2, 2024

In the industry

20 y

since Jul 21, 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

Registration history

IAPD current and previous registrations

N••• F•••••• I••••••••• S•••••••• L•• BD affiliated current
since May 2, 2024 · Saint Petersburg, Fl
C•••••• S••••• • C••• I••• national BD
Mar 8, 2022 to Jan 11, 2024 · Temple Terrace, Fl
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Jun 29, 2020 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Aug 8, 2011 to Jan 8, 2018 · Tampa, Fl
N•• E•••••• S••••••••• C••••••••• former
Apr 8, 2008 to Nov 3, 2009 · Tampa, Fl
W•••••• • R••• former
Jul 25, 2006 to Mar 20, 2008 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to N••• F•••••• I••••••••• S•••••••• L••
left Jan 11, 2024, registered May 2, 2024 (112 days) · Affiliated broker-dealer or bank to another
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left Jun 29, 2020, registered Mar 8, 2022 (617 days) · Other · moved with a team
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
N•• E•••••• S••••••••• C••••••••• to U••• F•••••••• P••••••• S•••••••
left Nov 3, 2009, registered Aug 8, 2011 (643 days) · Other
W•••••• • R••• to N•• E•••••• S••••••••• C•••••••••
left Mar 20, 2008, registered Apr 8, 2008 (19 days) · Other

Signals

M•••••• S•••• W••••• left C•••••• S••••• • C••• I••• for N••• F•••••• I••••••••• S•••••••• L•• (registered 2024-05-02)
Jan 11, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address