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.
Registered advisor
Jeffrey W Stephens
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Jeff Stephens
At current firm
8 y
since Aug 1, 2018
In the industry
40 y
since Mar 12, 1986 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Mma Securities LLC no RAUM currentsince Aug 1, 2018 · San Diego, Ca
- Sdm Advisors, LLC formerAug 22, 2014 to Sep 28, 2018 · San Francisco, Ca
- Valmark Advisers, Inc. BD affiliatedJul 31, 2014 to Aug 1, 2018 · San Francisco, Ca
- Financial Telesis, Inc. formerMar 2, 2011 to Jul 31, 2014 · San Rafael, Ca
- Arete Wealth Advisors, LLC BD affiliatedMar 23, 2009 to Mar 3, 2011 · Chicago, Il
- Private Wealth Advisors, Inc. unclassifiedJan 13, 2009 to Mar 19, 2009 · Sonoma, Ca
- Private Consulting Group, Inc. unclassifiedJul 31, 2006 to Dec 31, 2008 · San Francisco, Ca
- Nfp Advisor Services, LLC formerNov 23, 1998 to Aug 7, 2006 · Sonoma, Ca
Moves
a registration end followed by a registration begin elsewhere
- Sdm Advisors, LLC to Mma Securities LLCleft Sep 28, 2018, registered Aug 1, 2018 (-58 days) · Other
- Valmark Advisers, Inc. to Sdm Advisors, LLCleft Aug 1, 2018, registered Aug 22, 2014 (-1440 days) · Other
- Financial Telesis, Inc. to Valmark Advisers, Inc.left Jul 31, 2014, registered Jul 31, 2014 (0 days) · Other
- Arete Wealth Advisors, LLC to Financial Telesis, Inc.left Mar 3, 2011, registered Mar 2, 2011 (-1 days) · Other
- Private Wealth Advisors, Inc. to Arete Wealth Advisors, LLCleft Mar 19, 2009, registered Mar 23, 2009 (4 days) · Other
- Private Consulting Group, Inc. to Private Wealth Advisors, Inc.left Dec 31, 2008, registered Jan 13, 2009 (13 days) · Other
- Nfp Advisor Services, LLC to Private Consulting Group, Inc.left Aug 7, 2006, registered Jul 31, 2006 (-7 days) · Other
Signals
No dated event on this person.
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
- No RAUM reportedderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address