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

C•••••• M•••••

F••••• I•••••••••independent RIAGeorgetown, Ky IA-onlyIAPD 6868113

Feed of 09/18/2026

Also filed as C•••••• David M•••••

At current firm

0 y

since Sep 17, 2026

In the industry

9 y

since Oct 1, 2016 (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

F••••• I••••••••• independent RIA current
since Sep 17, 2026 · Georgetown, Ky
J••• M••••• S••••••••• L•• wirehouse
Jul 6, 2023 to Sep 9, 2026 · Lexington, Ky
A••••••• F•••••••• A•••••••• L•• BD affiliated
Mar 28, 2023 to Jun 16, 2023 · Lexington, Ky
J••• M••••• S••••••••• L•• wirehouse
Jul 29, 2022 to Mar 18, 2023 · Lexington, Ky
E••••• J•••• national BD
Jan 3, 2018 to Apr 25, 2022 · Arden, Nc

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to F••••• I•••••••••
left Sep 9, 2026, registered Sep 17, 2026 (8 days) · Wirehouse to independent RIA
A••••••• F•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••
left Jun 16, 2023, registered Jul 6, 2023 (20 days) · Affiliated broker-dealer or bank to wirehouse
J••• M••••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••
left Mar 18, 2023, registered Mar 28, 2023 (10 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to J••• M••••• S••••••••• L••
left Apr 25, 2022, registered Jul 29, 2022 (95 days) · Affiliated broker-dealer or bank to wirehouse

Signals

C•••••• M••••• registered as an investment adviser representative at F••••• I•••••••••
Sep 17, 2026 · Advisor registered · fact
C•••••• M••••• left J••• M••••• S••••••••• L•• for F••••• I••••••••• (registered 2026-09-17)
Sep 9, 2026 · 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: Independent wealth managerderived
Years in industry: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address