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RIA / WealthAdvisorCertified Financial Planner31 years in industry

STEVEN JOSEPH TOTO

Advisor at ETHOS CAPITAL MANAGEMENT, INC.

NEWTOWN, PA | Princeton, NJ

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Search this name across graphsid dfx:ria:db87f3e2-2b29-7ce7-f125-7d8662e1f15c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2002 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: ETHOS CAPITAL MANAGEMENT, INC.
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: Mar 27, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Mar 27, 1995
First registration: Jun 20, 2002
Dual registered: no
Other names: STEVEN J TOTO|STEVE TOTO
IAPD individual key: 1698379

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
ETHOS CAPITAL MANAGEMENT, INC.	Independent wealth	May 17, 2021	n/a	yes	NEWTOWN, PA\|Princeton, NJ	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Feb 22, 2018	Sep 9, 2021	no	YARDLEY, PA\|Newtown, PA	Previous registration
THE RETIREMENT GROUP, LLC	Former SEC adviser	Jan 25, 2018	Mar 23, 2018	no	Yardley, PA\|SAN DIEGO, CA	Previous registration
THE RETIREMENT GROUP, LLC	Former SEC adviser	Nov 8, 2011	Dec 31, 2017	no	SAN DIEGO, CA\|NEW TOWN, PA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 16, 2011	Nov 9, 2011	no	NEWTOWN, PA\|MORRISTOWN, NJ\|NEWTOWN, PA	Previous registration
QA3 FINANCIAL LLC	n/a	May 3, 2007	Feb 11, 2011	no	NEWTON, PA\|NEWTOWN, PA\|OMAHA, NE	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 17, 2004	May 3, 2007	no	NEWTOWN, PA\|YARDLEY, PA\|WEST TRENTON, NJ	Previous registration
ESI FINANCIAL ADVISORS	Independent wealth	Nov 14, 2002	Sep 15, 2004	no	NEWTOWN, PA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Jun 20, 2002	Sep 10, 2002	no	WAYNE, PA	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
AE WEALTH MANAGEMENT, LLC	ETHOS CAPITAL MANAGEMENT, INC.	Sep 9, 2021	May 17, 2021	-115	Firm change after gap	Ibd to RIA
THE RETIREMENT GROUP, LLC	AE WEALTH MANAGEMENT, LLC	Mar 23, 2018	Feb 22, 2018	-29	Firm change	Other
LPL FINANCIAL LLC	THE RETIREMENT GROUP, LLC	Nov 9, 2011	Nov 8, 2011	-1	Firm change	Other
QA3 FINANCIAL LLC	LPL FINANCIAL LLC	Feb 11, 2011	Feb 16, 2011	5	Firm change	Other
VOYA FINANCIAL ADVISORS, INC.	QA3 FINANCIAL LLC	May 3, 2007	May 3, 2007	0	Firm change	Other
ESI FINANCIAL ADVISORS	VOYA FINANCIAL ADVISORS, INC.	Sep 15, 2004	Sep 17, 2004	2	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	ESI FINANCIAL ADVISORS	Sep 10, 2002	Nov 14, 2002	65	Firm change	Other

Relationships

Registered with (8)

→ ETHOS CAPITAL MANAGEMENT, INC.Registered adviserregistration: current employment
May 17, 2021 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 22, 2018 to Sep 9, 2021factForm ADV
→ THE RETIREMENT GROUP, LLCRegistered adviserregistration: previous registration
Jan 25, 2018 to Mar 23, 2018factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 16, 2011 to Nov 9, 2011factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
May 3, 2007 to Feb 11, 2011factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 17, 2004 to May 3, 2007factForm ADV
→ ESI FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Nov 14, 2002 to Sep 15, 2004factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jun 20, 2002 to Sep 10, 2002factForm ADV

Dated events

No dated event names this entity yet.