DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

STEVEN HARMAN MOGUL

Advisor at ARETE WEALTH ADVISORS, LLC

Northbrook, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:10c579e4-9e05-374b-187c-8cfc2c02fd8e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 4, 1998 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: ARETE WEALTH ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 23, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jan 23, 1997
First registration: Mar 4, 1998
Dual registered: yes, broker-dealer
Other names: STEVEN HARMAN MOGUL|STEVEN HARMON MOGUL
IAPD individual key: 2834356

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
ARETE WEALTH ADVISORS, LLC	Bd affiliated wealth	Jun 23, 2023	n/a	yes	Northbrook, IL	Current employment
MIRAMAR CAPITAL	Former SEC adviser	Aug 26, 2020	May 16, 2023	no	NORTHBROOK, IL\|NORTHBROOK, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Nov 14, 2003	Sep 3, 2020	no	CHICAGO, IL\|CHICAGO, IL\|PITTSBURGH, PA\|NORTHBROOK, IL	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 4, 1998	Nov 28, 2003	no	RIVERWOODS, IL	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
MIRAMAR CAPITAL	ARETE WEALTH ADVISORS, LLC	May 16, 2023	Jun 23, 2023	38	Firm change	RIA to ibd
UBS FINANCIAL SERVICES INC.	MIRAMAR CAPITAL	Sep 3, 2020	Aug 26, 2020	-8	Firm change	Wirehouse to RIA
MORGAN STANLEY DW INC.	UBS FINANCIAL SERVICES INC.	Nov 28, 2003	Nov 14, 2003	-14	Firm change	Other

Relationships

Registered with (4)

→ ARETE WEALTH ADVISORS, LLCRegistered adviserregistration: current employment
Jun 23, 2023 to presentfactForm ADV
→ MIRAMAR CAPITALRegistered adviserregistration: previous registration
Aug 26, 2020 to May 16, 2023factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Nov 14, 2003 to Sep 3, 2020factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 4, 1998 to Nov 28, 2003factForm ADV

Dated events

Occurred
May 16, 2023
Advisor changed firm
Steven Harman Mogul left Miramar Capital for Arete Wealth Advisors, Llc (registered 2023-06-23)
Form ADVobserved 5 days ago