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••••• B••••

M•••••• A••••• S••••••••• L••BD affiliatedLos Angeles, Ca dual registrantIAPD 1500778

Certified Financial Planner

Feed of 09/15/2026

Also filed as Steve Brahy

At current firm

5 y

since Feb 26, 2021

In the industry

40 y

since Jul 23, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• A••••• S••••••••• L•• BD affiliated current
since Feb 26, 2021 · San Diego, Ca
C•••• I••••••••• S••••••• C•••• former
Oct 6, 2010 to Nov 4, 2011 · Montrose, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 15, 2009 to May 14, 2010 · Los Angeles, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Jun 23, 2009 · Pasadena, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 8, 1997 to Jun 1, 2009 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••• I••••••••• S••••••• C•••• to M•••••• A••••• S••••••••• L••
left Nov 4, 2011, registered Feb 26, 2021 (3402 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••
left May 14, 2010, registered Oct 6, 2010 (145 days) · Other
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Jun 23, 2009, registered Jun 15, 2009 (-8 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address