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RIA / WealthAdvisor32 years in industry

STEVEN SAMUEL WITTENBERG

Advisor at INDEPENDENT WEALTH SOLUTIONS

Cardiff by the Sea, CA

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Search this name across graphsid dfx:ria:03f8c83f-76fc-1180-d67d-ef63d1e1daa8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: INDEPENDENT WEALTH SOLUTIONS
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 29, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 29, 1993
First registration: Mar 12, 2002
Dual registered: no
IAPD individual key: 1309847

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
INDEPENDENT WEALTH SOLUTIONS	State registered	Oct 30, 2015	n/a	yes	Cardiff by the Sea, CA	Current employment
REGAN FINANCIAL GROUP, LLC	n/a	Aug 12, 2015	Nov 5, 2015	no	CARDIFF BY THE SEA, CA\|DANVILLE, CA	Previous registration
MUTUAL ADVISORS, LLC	Bd affiliated wealth	Jul 1, 2013	Jul 30, 2015	no	CARDIFF BY THE SEA, CA	Previous registration
MUTUAL SECURITIES, INC.	Former SEC adviser	Jan 3, 2013	Jul 9, 2013	no	WESTLAKE VILLAGE, CA\|CARDIFF BY THE SEA, CA	Previous registration
PLANMEMBER SECURITIES CORPORATION	Independent wealth	Feb 8, 2005	Dec 31, 2012	no	Carpinteria, CA\|CARDIFF BY THE SEA, CA\|CARDIFF BY THE SEA, CA	Previous registration
PMG ASSET MANAGEMENT INC	n/a	Mar 12, 2002	Feb 4, 2005	no	CARDIFF BY THE SEA , CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
REGAN FINANCIAL GROUP, LLC	INDEPENDENT WEALTH SOLUTIONS	Nov 5, 2015	Oct 30, 2015	-6	Firm change	Other
MUTUAL ADVISORS, LLC	REGAN FINANCIAL GROUP, LLC	Jul 30, 2015	Aug 12, 2015	13	Firm change	Other
MUTUAL SECURITIES, INC.	MUTUAL ADVISORS, LLC	Jul 9, 2013	Jul 1, 2013	-8	Firm change	Other
PLANMEMBER SECURITIES CORPORATION	MUTUAL SECURITIES, INC.	Dec 31, 2012	Jan 3, 2013	3	Firm change	Other
PMG ASSET MANAGEMENT INC	PLANMEMBER SECURITIES CORPORATION	Feb 4, 2005	Feb 8, 2005	4	Firm change	Other

Relationships

Registered with (6)

→ INDEPENDENT WEALTH SOLUTIONSRegistered adviserregistration: current employment
Oct 30, 2015 to presentfactForm ADV
→ REGAN FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Aug 12, 2015 to Nov 5, 2015factForm ADV
→ MUTUAL ADVISORS, LLCRegistered adviserregistration: previous registration
Jul 1, 2013 to Jul 30, 2015factForm ADV
→ MUTUAL SECURITIES, INC.Registered adviserregistration: previous registration
Jan 3, 2013 to Jul 9, 2013factForm ADV
→ PLANMEMBER SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Feb 8, 2005 to Dec 31, 2012factForm ADV
→ PMG ASSET MANAGEMENT INCRegistered adviserregistration: previous registration
Mar 12, 2002 to Feb 4, 2005factForm ADV

Dated events

No dated event names this entity yet.