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•••••••• C•••••••• M•••••

H•••••••• A•••••••• L••BD affiliatedChicago, Il dual registrantIAPD 1837143

Feed of 09/14/2026

Also filed as S•••••••• C•••••••• Steffens

At current firm

3 y

since Oct 31, 2022

In the industry

35 y

since Oct 26, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••••• A•••••••• L•• BD affiliated current
since Oct 31, 2022 · Chicago, Il
H•••••••• 6• H••••••• L•• former
Jan 3, 2022 to Nov 4, 2022 · Wichita, Ks
6• M••••••• L•• former
Sep 9, 2016 to Feb 25, 2022 · Wichita, Ks
M••••• S•••••• wirehouse
Jun 1, 2009 to Sep 19, 2016 · Wichita, Ks
M••••• S•••••• • C•• L•• unclassified
Jul 3, 2008 to Jun 1, 2009 · Wichita, Ks
C•••••••• G••••• M•••••• I••• BD affiliated
Mar 1, 2001 to Jul 24, 2008 · Wichita, Ks

Moves

a registration end followed by a registration begin elsewhere

H•••••••• 6• H••••••• L•• to H•••••••• A•••••••• L••
left Nov 4, 2022, registered Oct 31, 2022 (-4 days) · RIA to affiliated broker-dealer or bank · moved with a team
6• M••••••• L•• to H•••••••• 6• H••••••• L••
left Feb 25, 2022, registered Jan 3, 2022 (-53 days) · RIA to a newly registered adviser · moved with a team
M••••• S•••••• to 6• M••••••• L••
left Sep 19, 2016, registered Sep 9, 2016 (-10 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••
left Jul 24, 2008, registered Jul 3, 2008 (-21 days) · Other

Signals

S•••••••• C•••••••• M••••• left H•••••••• 6• H••••••• L•• for H•••••••• A•••••••• L•• (registered 2022-10-31)
Nov 4, 2022 · Advisor changed firm · fact
S•••••••• C•••••••• M••••• left 6• M••••••• L•• for H•••••••• 6• H••••••• L•• (registered 2022-01-03)
Feb 25, 2022 · 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address