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
Steven Samuel Wittenberg
Feed of 09/14/2026
At current firm
10 y
since Oct 30, 2015
In the industry
32 y
since Nov 29, 1993 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- Independent Wealth Solutions state registered currentsince Oct 30, 2015 · Cardiff By The Sea, Ca
- Regan Financial Group, LLC unclassifiedAug 12, 2015 to Nov 5, 2015 · Cardiff By The Sea, Ca
- Mutual Advisors, LLC BD affiliatedJul 1, 2013 to Jul 30, 2015 · Cardiff By The Sea, Ca
- Mutual Securities, Inc. formerJan 3, 2013 to Jul 9, 2013 · Westlake Village, Ca
- Planmember Securities Corporation independent RIAFeb 8, 2005 to Dec 31, 2012 · Carpinteria, Ca
- Pmg Asset Management Inc unclassifiedMar 12, 2002 to Feb 4, 2005 · Cardiff By The Sea , Ca
Moves
a registration end followed by a registration begin elsewhere
- Regan Financial Group, LLC to Independent Wealth Solutionsleft Nov 5, 2015, registered Oct 30, 2015 (-6 days) · Other
- Mutual Advisors, LLC to Regan Financial Group, LLCleft Jul 30, 2015, registered Aug 12, 2015 (13 days) · Other
- Mutual Securities, Inc. to Mutual Advisors, LLCleft Jul 9, 2013, registered Jul 1, 2013 (-8 days) · Other
- Planmember Securities Corporation to Mutual Securities, Inc.left Dec 31, 2012, registered Jan 3, 2013 (3 days) · Other
- Pmg Asset Management Inc to Planmember Securities Corporationleft Feb 4, 2005, registered Feb 8, 2005 (4 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address