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
James Arthur Steinbrenner
Feed of 09/14/2026
Also filed as Jim Steinbrenner
At current firm
7 y
since Feb 8, 2019
In the industry
28 y
since Mar 13, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
7
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
- Lasalle St. Investment Advisors, L.L.C. BD affiliated currentsince Feb 8, 2019 · Elmhurst, Il
- Saxony Capital Management, LLC independent RIAJan 9, 2009 to Feb 27, 2019 · Milwaukee, Wi
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerAug 19, 2003 to Dec 19, 2008 · Wauwatosa, Wi
Moves
a registration end followed by a registration begin elsewhere
- Saxony Capital Management, LLC to Lasalle St. Investment Advisors, L.L.C.left Feb 27, 2019, registered Feb 8, 2019 (-19 days) · RIA to affiliated broker-dealer or bank · moved with a team
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Saxony Capital Management, LLCleft Dec 19, 2008, registered Jan 9, 2009 (21 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address