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
Steve Howell Gott
Feed of 09/14/2026
Also filed as Stephen Howell Gott
At current firm
3 y
since Mar 6, 2023
In the industry
25 y
since Sep 19, 2000 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Frost Investment Services BD affiliated currentsince Mar 6, 2023 · San Antonio, Tx
- U.S. Capital Wealth Advisors, LLC BD affiliatedJun 30, 2021 to Feb 24, 2023 · Austin, Tx
- Usca Asset Management LLC asset managerMar 5, 2015 to Aug 24, 2021 · Houston, Tx
- Usca Ria LLC formerMay 1, 2012 to Jun 30, 2021 · Houston, Tx
- Sanders Morris LLC independent RIAJul 19, 2011 to Apr 23, 2012 · Houston, Tx
- Stanford Group Company unclassifiedNov 15, 2000 to Mar 31, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- U.S. Capital Wealth Advisors, LLC to Frost Investment Servicesleft Feb 24, 2023, registered Mar 6, 2023 (10 days) · Affiliated broker-dealer or bank to another
- Usca Asset Management LLC to U.S. Capital Wealth Advisors, LLCleft Aug 24, 2021, registered Jun 30, 2021 (-55 days) · Other · moved with a team
- Usca Ria LLC to Usca Asset Management LLCleft Jun 30, 2021, registered Mar 5, 2015 (-2309 days) · Other · moved with a team
- Sanders Morris LLC to Usca Ria LLCleft Apr 23, 2012, registered May 1, 2012 (8 days) · Other
- Stanford Group Company to Sanders Morris LLCleft Mar 31, 2009, registered Jul 19, 2011 (840 days) · Other
Signals
- Steve Howell Gott left U.S. Capital Wealth Advisors, Llc for Frost Investment Services (registered 2023-03-06)Feb 24, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address