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• G••••

J••••• M••••••••• S•••• L••BD affiliatedSarasota, Fldual registrantIAPD 5765054

Feed of 09/14/2026

Also filed as Michael Steven Gross

At current firm

3 y

since Sep 6, 2023

In the industry

16 y

since Apr 1, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••••• M••••••••• S•••• L•• BD affiliated current
since Sep 6, 2023 · Sarasota, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 3, 2022 to Oct 25, 2022 · Riverview, Fl
P•• W••••• M••••••••• BD affiliated
Feb 24, 2021 to Nov 5, 2021 · Raleigh, Nc
T• A••••••••• I••• former
May 22, 2020 to Jan 11, 2021 · Cary, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
May 22, 2020 to Dec 31, 2020 · Cary, Nc
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
Jun 27, 2018 to May 4, 2020 · Raleigh, Nc
S•••••••• I••••••••• M••••••••• former
Feb 1, 2017 to Mar 8, 2018 · Bradenton, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••
left Oct 25, 2022, registered Sep 6, 2023 (316 days) · Wirehouse to affiliated broker-dealer or bank
P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 5, 2021, registered Feb 3, 2022 (90 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••• to P•• W••••• M•••••••••
left Jan 11, 2021, registered Feb 24, 2021 (44 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered May 22, 2020 (-223 days) · corporate re-registration, not a move
F•••• C••••••• I••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 4, 2020, registered May 22, 2020 (18 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• I••••••••• M••••••••• to F•••• C••••••• I••••••• S•••••••• I•••
left Mar 8, 2018, registered Jun 27, 2018 (111 days) · Affiliated broker-dealer or bank to another

Signals

M•••••• S• G•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••••• M••••••••• S•••• L•• (registered 2023-09-06)
Oct 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address