DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• J••• P•••••
Feed of 09/14/2026
Also filed as Mike P•••••
At current firm
5 y
since Oct 21, 2020
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Oct 21, 2020 · Irmo, Sc
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 1, 2019 to Apr 28, 2020 · Augusta, Ga
- T• A••••••••• I••• formerFeb 1, 2019 to Apr 28, 2020 · Augusta, Ga
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 24, 2017 to Sep 19, 2018 · Columbia, Sc
- F•••• C•••••• A••••••• S••••••• BD affiliatedJul 19, 2016 to Mar 24, 2017 · Columbia, Sc
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Apr 28, 2020, registered Oct 21, 2020 (176 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 28, 2020, registered Feb 1, 2019 (-452 days) · channel change inside one enterprise, not a move
- M•• I•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 19, 2018, registered Feb 1, 2019 (135 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• C•••••• A••••••• S••••••• to M•• I•••••••• S•••••••• L••left Mar 24, 2017, registered Oct 24, 2017 (214 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address