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.

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Registered advisor

M•••••• A• S••••

L•• F•••••••• L••BD affiliatedBurleson, Tx dual registrantIAPD 6443771

Feed of 09/15/2026

Also filed as Michael Smith

At current firm

1 y

since Jun 23, 2025

In the industry

11 y

since Feb 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 23, 2025 · Burleson, Tx
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Jun 26, 2025 · Burleson, Tx
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Jan 19, 2024 · Burleson, Tx
Q•••••• A•••• M••••••••• I••• former
Jan 7, 2019 to Mar 1, 2019 · Burleson, Tx
E••••• J•••• national BD
May 21, 2015 to Jan 10, 2019 · Burleson, Tx

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Jun 26, 2025, registered Jun 23, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
E••••• J•••• to Q•••••• A•••• M••••••••• I•••
left Jan 10, 2019, registered Jan 7, 2019 (-3 days) · Affiliated broker-dealer or bank to another

Signals

M•••••• A• S•••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-06-23)
Jun 26, 2025 · 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