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•••••• P• L•••

J••• M••••• S••••••••• L••wirehouseCharlotte, Nc dual registrantIAPD 6569897

Feed of 09/14/2026

Also filed as Mike L•••

At current firm

0 y

since May 11, 2026

In the industry

11 y

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

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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•• wirehouse current
since May 11, 2026 · Atlanta, Ga
F••••••••• I••••••••• A••••••• L•• independent RIA
Jan 2, 2024 to Apr 20, 2026 · Phoenix, Az
A•••• I••••••••• M••••••••• state registered
Dec 5, 2023 to Apr 20, 2026 · Charlotte, Nc
J••• M••••• S••••••••• L•• wirehouse
Dec 10, 2020 to Nov 18, 2023 · Huntersville, Nc
H••••• W••••• independent RIA
Aug 17, 2018 to Nov 10, 2020 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 22, 2017 to Aug 2, 2018 · Charleston, Wv

Moves

a registration end followed by a registration begin elsewhere

F••••••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Apr 20, 2026, registered May 11, 2026 (21 days) · RIA to wirehouse
A•••• I••••••••• M••••••••• to F••••••••• I••••••••• A••••••• L••
left Apr 20, 2026, registered Jan 2, 2024 (-839 days) · Other
J••• M••••• S••••••••• L•• to A•••• I••••••••• M•••••••••
left Nov 18, 2023, registered Dec 5, 2023 (17 days) · Wirehouse to a state-registered adviser
H••••• W••••• to J••• M••••• S••••••••• L••
left Nov 10, 2020, registered Dec 10, 2020 (30 days) · RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••• W•••••
left Aug 2, 2018, registered Aug 17, 2018 (15 days) · Wirehouse to independent RIA

Signals

M•••••• P• L••• left F••••••••• I••••••••• A••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-05-11)
Apr 20, 2026 · Advisor changed firm · fact
M•••••• P• L••• left A•••• I••••••••• M••••••••• for F••••••••• I••••••••• A••••••• L•• (registered 2024-01-02)
Apr 20, 2026 · Advisor changed firm · fact
M•••••• P• L••• left J••• M••••• S••••••••• L•• for A•••• I••••••••• M••••••••• (registered 2023-12-05)
Nov 18, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address