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•••••• D••••• A••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedMount Airy, Mddual registrantIAPD 5390407

Feed of 09/14/2026

Also filed as Mike A••••

At current firm

0 y

since Nov 17, 2025

In the industry

19 y

since Sep 7, 2007 (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 Nov 17, 2025 · Mount Airy, Md
C••••• I••••••••• A••••••• L•• BD affiliated
Jul 26, 2024 to Jan 17, 2025 · Mt Airy, Md
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
May 29, 2019 to Jul 8, 2024 · Norcross, Ga
H• B•••• I••• former
Oct 1, 2008 to Feb 22, 2019 · Rockville, Md
W•••• F•••• A••••••• wirehouse
Jan 24, 2008 to Oct 2, 2008 · Randallstown, Md

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 17, 2025, registered Nov 17, 2025 (304 days) · Affiliated broker-dealer or bank to another
C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Jul 8, 2024, registered Jul 26, 2024 (18 days) · Affiliated broker-dealer or bank to another
H• B•••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 22, 2019, registered May 29, 2019 (96 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to H• B•••• I•••
left Oct 2, 2008, registered Oct 1, 2008 (-1 days) · Other

Signals

M•••••• D••••• A•••• left C••••• I••••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-11-17)
Jan 17, 2025 · Advisor changed firm · fact
M•••••• D••••• A•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-07-26)
Jul 8, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address