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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

STEVEN PEARSON LATHAM

Advisor at BERNICKE WEALTH MANAGEMENT

ALTOONA, WI

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:ab1e7d3e-6ff6-df16-8526-e3a64d26fa98

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2008 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: BERNICKE WEALTH MANAGEMENT
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 25, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Oct 25, 2007
First registration: Feb 13, 2008
Dual registered: yes, broker-dealer
Other names: STEVEN P LATHAM|STEVEN PEARSON LATHAM|Steven Latham
IAPD individual key: 5432016

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
BERNICKE WEALTH MANAGEMENT	Independent wealth	Apr 28, 2025	n/a	yes	ALTOONA, WI	Current employment
GREAT VALLEY ADVISOR GROUP, LLC	Independent wealth	Apr 20, 2021	Apr 28, 2025	no	Altoona, WI\|BERWYN, PA\|Woodbury, MN	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 14, 2019	Mar 17, 2021	no	ALTOONA, WI	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 13, 2008	Jan 3, 2018	no	MINNEAPOLIS, MN\|MINNEAPOLIS, MN\|NEW YORK, NY\|MINNEAPOLIS, MN	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
GREAT VALLEY ADVISOR GROUP, LLC	BERNICKE WEALTH MANAGEMENT	Apr 28, 2025	Apr 28, 2025	0	Firm change	RIA to new firm
AMERIPRISE FINANCIAL SERVICES, LLC	GREAT VALLEY ADVISOR GROUP, LLC	Mar 17, 2021	Apr 20, 2021	34	Firm change	Ibd to RIA
RBC CAPITAL MARKETS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Jan 3, 2018	Jan 14, 2019	376	Firm change	Ibd to ibd

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
123913:335431:MN:2025-04-28	Apr 28, 2025	Apr 28, 2025	WOODBURY, MN	Firm change

Relationships

Registered with (4)

→ BERNICKE WEALTH MANAGEMENTRegistered adviserregistration: current employment
Apr 28, 2025 to presentfactForm ADV
→ GREAT VALLEY ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Apr 20, 2021 to Apr 28, 2025factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 14, 2019 to Mar 17, 2021factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 13, 2008 to Jan 3, 2018factForm ADV

Dated events

Occurred
Apr 28, 2025
Advisor changed firm
Steven Pearson Latham left Great Valley Advisor Group, Llc for Bernicke Wealth Management (registered 2025-04-28)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ab1e7d3e-6ff6-df16-8526-e3a64d26fa98
First observed: Feb 13, 2008
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STEVEN PEARSON LATHAM

Advisor at BERNICKE WEALTH MANAGEMENT

ALTOONA, WI

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:ab1e7d3e-6ff6-df16-8526-e3a64d26fa98

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:59 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

BERNICKE WEALTH MANAGEMENT

Independent wealth

Apr 28, 2025

n/a

yes

ALTOONA, WI

Current employment

GREAT VALLEY ADVISOR GROUP, LLC

Independent wealth

Apr 20, 2021

Apr 28, 2025

Altoona, WI|BERWYN, PA|Woodbury, MN

Previous registration

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Jan 14, 2019

Mar 17, 2021

ALTOONA, WI

Previous registration

RBC CAPITAL MARKETS, LLC

National bd RIA

Feb 13, 2008

Jan 3, 2018

MINNEAPOLIS, MN|MINNEAPOLIS, MN|NEW YORK, NY|MINNEAPOLIS, MN

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

GREAT VALLEY ADVISOR GROUP, LLC

BERNICKE WEALTH MANAGEMENT

Apr 28, 2025

Firm change

RIA to new firm

AMERIPRISE FINANCIAL SERVICES, LLC

GREAT VALLEY ADVISOR GROUP, LLC

Mar 17, 2021

Apr 20, 2021

Firm change

Ibd to RIA

RBC CAPITAL MARKETS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Jan 3, 2018

Jan 14, 2019

376

Firm change

Ibd to ibd

Team

Left

Joined

From

Kind

123913:335431:MN:2025-04-28

Apr 28, 2025

WOODBURY, MN

Firm change