Michael D. Miller

PRINCIPIA WEALTH ADVISORY

Dallas, TX 75240

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CRD#: 4532677

Professional summary

Michael David Miller, who also goes by Mike Miller, is a registered financial advisor currently at PRINCIPIA WEALTH ADVISORY, LLC located in Dallas, Texas.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Michael has worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Miller

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Miller's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 4, 2020 - Present

PRINCIPIA WEALTH ADVISORY, LLC

Office #1: 13355 Noel Rd. Ste 1100, Dallas, TX 75240

RIA

CRD#: 152678

Dallas, TX

Past

August 23, 2017 - January 3, 2020

TRUE NORTH ADVISORS, LLC

RIA

CRD#: 116048

DALLAS, TX

Past

December 12, 2014 - December 31, 2016

TRUE NORTH ADVISORS, LLC

RIA

CRD#: 116048

DALLAS, TX

Past

March 21, 2006 - December 12, 2014

WFG ADVISORS, LP

RIA

CRD#: 125073

DALLAS, TX

Past

February 26, 2003 - March 21, 2006

MDM CAPITAL ADVISORS, LLC

RIA

CRD#: 120176

DALLAS, TX

Past

June 11, 2002 - December 31, 2002

MDM CAPITAL ADVISORS, LLC

RIA

CRD#: 120176

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRINCIPIA WEALTH ADVISORY, LLC

CRD#: 152678 / SEC#: 801-127042

RIA

Registered Investment Advisory firm - (12/15/2022 Approved)

Texas

Registered Investment Advisory firm - (12/19/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(1/4/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/30/2001

Uniform Investment Adviser Law Examination

Current Firm

PRINCIPIA WEALTH ADVISORY, LLC

CRD#: 152678 / SEC#: 801-127042

RIA

Registered Investment Advisory firm - (12/15/2022 Approved)

Texas

Registered Investment Advisory firm - (12/19/2022 Terminated)

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Contact information

Main Address

13355 Noel Rd. Ste 1100, Dallas, TX 75240

Mailing Address

13355 Noel Rd. Ste 1100, Dallas, TX 75240

Phone number

(214) 775-0899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	736
AUM (Assets Under Management)	$ 190,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael D. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPIA WEALTH ADVISORY, LLC

TRUE NORTH ADVISORS, LLC

TRUE NORTH ADVISORS, LLC

WFG ADVISORS, LP

MDM CAPITAL ADVISORS, LLC

MDM CAPITAL ADVISORS, LLC

Primary Firm SEC Registration

PRINCIPIA WEALTH ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/2001

Current Firm

PRINCIPIA WEALTH ADVISORY, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRINCIPIA WEALTH ADVISORY, LLC

TRUST BUT VERIFY

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