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 Robert Cowley
Feed of 09/14/2026
At current firm
22 y
since Jan 21, 2004
In the industry
30 y
since Nov 28, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- One Capital Management, LLC independent RIA currentsince Jan 21, 2004 · Westlake Village, Ca
- Cascade Financial Management, Inc. formerMay 19, 2004 to Apr 17, 2008 · Denver, Co
- Oppenheimer & Co. Inc. BD affiliatedJan 3, 2003 to Jan 15, 2004 · Los Angeles , Ca
- Cibc World Markets Corp. unclassifiedMar 18, 1996 to Jan 3, 2003 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Cascade Financial Management, Inc. to no registered destinationleft Apr 17, 2008 · Departure, no registered destination
- Oppenheimer & Co. Inc. to One Capital Management, LLCleft Jan 15, 2004, registered Jan 21, 2004 (6 days) · Other
- Cibc World Markets Corp. to Oppenheimer & Co. Inc.left Jan 3, 2003, registered Jan 3, 2003 (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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address