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RIA / WealthAdvisorCertified Financial Planner23 years in industry

STEVEN JAMES STAUFF

Advisor at IEQ CAPITAL, LLC

Newport Beach, CA

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Search this name across graphsid dfx:ria:2dbc1cae-be5b-050b-426d-9126500ff0a7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 7, 2003 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: IEQ CAPITAL, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 21, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 21, 2002
First registration: Feb 7, 2003
Dual registered: no
Other names: STEVEN JAMES STAUFF|STEVEN J STAUFF
IAPD individual key: 4468047

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
IEQ CAPITAL, LLC	Independent wealth	Sep 6, 2023	n/a	yes	Newport Beach, CA	Current employment
RBC SECURITIES, INC.	Bd affiliated wealth	Apr 1, 2016	Sep 15, 2023	no	IRVINE, CA\|LOS ANGELES, CA\|Los Angeles, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 15, 2010	Mar 28, 2016	no	IRVINE, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 29, 2010	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 7, 2003	Apr 2, 2007	no	LOS ANGELES, CA\|LOS ANGELES, 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
RBC SECURITIES, INC.	IEQ CAPITAL, LLC	Sep 15, 2023	Sep 6, 2023	-9	Firm change	RIA to RIA
WELLS FARGO ADVISORS	RBC SECURITIES, INC.	Mar 28, 2016	Apr 1, 2016	4	Firm change	Other
MORGAN STANLEY	WELLS FARGO ADVISORS	Oct 29, 2010	Oct 15, 2010	-14	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Relationships

Registered with (6)

→ IEQ CAPITAL, LLCRegistered adviserregistration: current employment
Sep 6, 2023 to presentfactForm ADV
→ RBC SECURITIES, INC.Registered adviserregistration: previous registration
Apr 1, 2016 to Sep 15, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 15, 2010 to Mar 28, 2016factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 29, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 7, 2003 to Apr 2, 2007factForm ADV

Dated events

Occurred
Sep 15, 2023
Advisor changed firm
Steven James Stauff left Rbc Securities, Inc. for Ieq Capital, Llc (registered 2023-09-06)
Form ADVobserved 6 days ago