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•••••• M•••••

V••• F•••••••• A•••••••• I•••BD affiliatedNorth Charleston, Sc dual registrantIAPD 5334993

Feed of 09/14/2026

Also filed as Mike M•••••

At current firm

5 y

since Dec 16, 2020

In the industry

18 y

since Jun 6, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••• F•••••••• A•••••••• I••• BD affiliated current
since Dec 16, 2020 · North Charleston, Sc
C••••••••• F•••••••• N•••••• national BD
Apr 13, 2020 to Nov 10, 2020 · Mt. Pleasant, Sc
T••••••••• R••••••••• A•••••••• L•• BD affiliated
Dec 8, 2017 to Apr 14, 2020 · Charleston, Sc
S•••••••• A••••••• L•• national BD
Mar 17, 2016 to Dec 5, 2017 · Dunwoody, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 10, 2008 to Nov 3, 2008 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to V••• F•••••••• A•••••••• I•••
left Nov 10, 2020, registered Dec 16, 2020 (36 days) · Affiliated broker-dealer or bank to another
T••••••••• R••••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••
left Apr 14, 2020, registered Apr 13, 2020 (-1 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••
left Dec 5, 2017, registered Dec 8, 2017 (3 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left Nov 3, 2008, registered Mar 17, 2016 (2691 days) · Wirehouse to affiliated broker-dealer or bank

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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address