DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• C•••••• E•••••

O•••• W•••••• I•••BD affiliatedUtica, Midual registrantIAPD 1067700

Feed of 09/14/2026

Also filed as Steve E•••••

At current firm

2 y

since Apr 3, 2024

In the industry

43 y

since Aug 10, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Apr 3, 2024 · Utica, Mi
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Apr 4, 2024 · Utica, Mi
C••••• A•••••• N••••••• L•• former
Apr 17, 2021 to Jun 29, 2023 · Utica, Mi
S••••• F•••••••• G•••• I•• former
Mar 12, 2018 to May 20, 2021 · Utica, Mi
C••••• I••••••••• A••••••• L•• BD affiliated
Oct 14, 2015 to Feb 10, 2020 · Utica, Mi
J• P• T••••• • C•••••• C•••••• M••••••••• L•• former
May 26, 2010 to Nov 13, 2015 · Utica, Mi

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••
left Apr 4, 2024, registered Apr 3, 2024 (-1 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••
left May 20, 2021, registered Apr 17, 2021 (-33 days) · channel change inside one enterprise, not a move · moved with a team
C••••• I••••••••• A••••••• L•• to S••••• F•••••••• G•••• I••
left Feb 10, 2020, registered Mar 12, 2018 (-700 days) · Other
J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
left Nov 13, 2015, registered Oct 14, 2015 (-30 days) · corporate re-registration, not a move

Signals

S••••• C•••••• E••••• left C••••• I••••••••• A••••••• L•• for O•••• W•••••• I••• (registered 2024-04-03)
Apr 4, 2024 · a•••••• firm change · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address