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.
Feed of 09/15/2026
Also filed as David Michael Davis
At current firm
3 y
since May 30, 2023
In the industry
13 y
since Dec 26, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Spc BD affiliated currentsince May 30, 2023 · Jackson, Mi
- Osaic Institutions, Inc. BD affiliatedJul 1, 2016 to May 30, 2023 · Grand Ledge, Mi
- Essex National Securities, Inc. formerJul 13, 2015 to Jul 1, 2016 · Okemos, Mi
- Principal Securities, Inc. BD affiliatedJan 31, 2013 to Jun 24, 2015 · Lansing, Mi
Moves
a registration end followed by a registration begin elsewhere
- Osaic Institutions, Inc. to Spcleft May 30, 2023, registered May 30, 2023 (0 days) · Affiliated broker-dealer or bank to another
- Essex National Securities, Inc. to Osaic Institutions, Inc.left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- Principal Securities, Inc. to Essex National Securities, Inc.left Jun 24, 2015, registered Jul 13, 2015 (19 days) · Other
Signals
- David Michael Davis left Osaic Institutions, Inc. for Spc (registered 2023-05-30)May 30, 2023 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address