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RIA / WealthAdvisor32 years in industry

DAVID BARRY STEINER

Advisor at PURPLE DOG INVESTMENTS LLC

SPRINGFIELD, NJ

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Search this name across graphsid dfx:ria:c3d03640-5ad2-6c32-e6ac-0c73069a15e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Jan 24, 2005 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: PURPLE DOG INVESTMENTS LLC
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: Jul 22, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 22, 1994
First registration: Jan 24, 2005
Dual registered: no
IAPD individual key: 2488160

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
PURPLE DOG INVESTMENTS LLC	State registered	Jan 30, 2025	n/a	yes	SPRINGFIELD, NJ	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Mar 18, 2024	May 6, 2024	no	SPRINGFIELD, NJ	Previous registration
PURPLE DOG INVESTMENTS LLC	State registered	Apr 25, 2019	Dec 31, 2024	no	SPRINGFIELD, NJ	Previous registration
PURPLE DOG INVESTMENTS LLC	State registered	Apr 25, 2019	Dec 31, 2023	no	SPRINGFIELD, NJ	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Oct 3, 2016	Apr 5, 2024	no	SPRINGFIELD, NJ	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Jan 24, 2005	Oct 3, 2016	no	Lynnfield, MA\|LYNNFIELD, MA\|GALION, OH\|BERKLEY HEIGHTS, NJ\|GREENVILLE, SC\|SPRINGFIELD, NJ\|LYNNFIELD, MA\|LYNNFIELD, MA	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
PURPLE DOG INVESTMENTS LLC	CETERA INVESTMENT ADVISERS LLC	Dec 31, 2024	Mar 18, 2024	-288	Firm change after gap	Other
CETERA INVESTMENT ADVISERS LLC	PURPLE DOG INVESTMENTS LLC	May 6, 2024	Jan 30, 2025	269	Firm change	Ibd to state RIA
CETERA ADVISORS LLC	PURPLE DOG INVESTMENTS LLC	Apr 5, 2024	Apr 25, 2019	-1,807	Firm change after gap	Ibd to state RIA
INVESTORS CAPITAL ADVISORY	CETERA ADVISORS LLC	Oct 3, 2016	Oct 3, 2016	0	Channel change	Other

Team moves

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

Team	Left	Joined	From	Kind
30613:10299:MA:2016-10-03	Oct 3, 2016	Oct 3, 2016	LYNNFIELD, MA	Firm change

Relationships

Registered with (4)

→ PURPLE DOG INVESTMENTS LLCRegistered adviserregistration: previous registration
Apr 25, 2019 to Dec 31, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Mar 18, 2024 to May 6, 2024factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Oct 3, 2016 to Apr 5, 2024factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Jan 24, 2005 to Oct 3, 2016factForm ADV

Dated events

Occurred
Dec 31, 2024
Advisor changed firm
David Barry Steiner left Purple Dog Investments Llc for Cetera Investment Advisers Llc (registered 2024-03-18)
Form ADVobserved 5 days ago
Occurred
May 6, 2024
Advisor changed firm
David Barry Steiner left Cetera Investment Advisers Llc for Purple Dog Investments Llc (registered 2025-01-30)
Form ADVobserved 5 days ago
Occurred
Apr 5, 2024
Advisor changed firm
David Barry Steiner left Cetera Advisors Llc for Purple Dog Investments Llc (registered 2019-04-25)
Form ADVobserved 5 days ago