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•••••

S••••• A••••••• I•••BD affiliatedBirmingham, Aldual registrantIAPD 6375051

Feed of 09/14/2026

Also filed as M•••••• James M•••••

At current firm

1 y

since Mar 31, 2025

In the industry

11 y

since Mar 14, 2015 (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

S••••• A••••••• I••• BD affiliated current
since Mar 31, 2025 · Birmingham, Al
L•• E••••••••• L•• BD affiliated
Oct 4, 2024 to Mar 26, 2025 · Trussville, Al
C•••••••• F•••••••• G•••• A••••••• former
Apr 28, 2022 to Sep 13, 2024 · Birmingham, Al
P•• W••••• M••••••••• BD affiliated
Feb 22, 2022 to May 18, 2022 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to S••••• A••••••• I•••
left Mar 26, 2025, registered Mar 31, 2025 (5 days) · Other
C•••••••• F•••••••• G•••• A••••••• to L•• E••••••••• L••
left Sep 13, 2024, registered Oct 4, 2024 (21 days) · Affiliated broker-dealer or bank to a newly registered adviser
P•• W••••• M••••••••• to C•••••••• F•••••••• G•••• A•••••••
left May 18, 2022, registered Apr 28, 2022 (-20 days) · Affiliated broker-dealer or bank to another

Signals

M•••••• M••••• left L•• E••••••••• L•• for S••••• A••••••• I••• (registered 2025-03-31)
Mar 26, 2025 · Advisor changed firm · fact
M•••••• M••••• left C•••••••• F•••••••• G•••• A••••••• for L•• E••••••••• L•• (registered 2024-10-04)
Sep 13, 2024 · Advisor changed firm · fact
M•••••• M••••• left P•• W••••• M••••••••• for C•••••••• F•••••••• G•••• A••••••• (registered 2022-04-28)
May 18, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address