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RIA / WealthAdvisorCertified Financial Planner11 years in industry

STEPHEN MICHAEL CASH

Advisor at MARINER INDEPENDENT

Albany, NY | Ballston Lake, NY

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Search this name across graphsid dfx:ria:6d011ed8-2eab-6a8b-08fc-703a09e4bf71

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 4, 2015 to Sep 15, 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: MARINER INDEPENDENT
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: May 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 1, 2015
First registration: May 4, 2015
Dual registered: no
IAPD individual key: 6027198

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
MARINER INDEPENDENT	Independent wealth	Sep 9, 2026	n/a	yes	Ballston Lake, NY\|Albany, NY	Current employment
ADVISORS CAPITAL MANAGEMENT, LLC	Independent wealth	Dec 9, 2020	Sep 11, 2026	no	Ballston Lake, NY\|RIDGEWOOD, NJ	Previous registration
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Dec 22, 2015	Dec 4, 2020	no	Fairfield, NJ\|MORRISTOWN, NJ	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	May 4, 2015	Dec 28, 2015	no	NEW YORK, NY	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
ADVISORS CAPITAL MANAGEMENT, LLC	MARINER INDEPENDENT	Sep 11, 2026	Sep 9, 2026	-2	Firm change	RIA to RIA
PRIVATE ADVISOR GROUP, LLC	ADVISORS CAPITAL MANAGEMENT, LLC	Dec 4, 2020	Dec 9, 2020	5	Firm change	Ibd to RIA
OPPENHEIMER & CO. INC.	PRIVATE ADVISOR GROUP, LLC	Dec 28, 2015	Dec 22, 2015	-6	Firm change	Other

Relationships

Registered with (4)

→ MARINER INDEPENDENTRegistered adviserregistration: current employment
Sep 9, 2026 to presentfactForm ADV
→ ADVISORS CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 9, 2020 to Sep 11, 2026factForm ADV
→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Dec 22, 2015 to Dec 4, 2020factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
May 4, 2015 to Dec 28, 2015factForm ADV

Dated events

Occurred
Sep 11, 2026
Advisor changed firm
Stephen Michael Cash left Advisors Capital Management, Llc for Mariner Independent (registered 2026-09-09)
Form ADVobserved 5 days ago