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••••• T•••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 1969883

Feed of 09/15/2026

Also filed as Steve T•••••

At current firm

0 y

since May 1, 2026

In the industry

22 y

since Jan 30, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• A••••••• G••••• L•• BD affiliated current
since May 1, 2026 · Greenwood Village, Co
F••••••••• I••••••••• A••••••• L•• independent RIA
May 27, 2025 to Feb 4, 2026 · Phoenix, Az
A••••••• A••••••• S•••••••• L•• BD affiliated
Dec 21, 2023 to Apr 10, 2025 · Eliot, Me
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 23, 2009 to Dec 20, 2011 · Burlington, Ma
T• A••••••••• I••• former
Oct 23, 2009 to Dec 20, 2011 · Burlington, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jan 28, 2005 to Sep 1, 2009 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

F••••••••• I••••••••• A••••••• L•• to E•••••• A••••••• G••••• L••
left Feb 4, 2026, registered May 1, 2026 (86 days) · RIA to affiliated broker-dealer or bank
A••••••• A••••••• S•••••••• L•• to F••••••••• I••••••••• A••••••• L••
left Apr 10, 2025, registered May 27, 2025 (47 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 20, 2011, registered Oct 23, 2009 (-788 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to A••••••• A••••••• S•••••••• L••
left Dec 20, 2011, registered Dec 21, 2023 (4384 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 1, 2009, registered Oct 23, 2009 (52 days) · Other

Signals

S••••• T••••• left F••••••••• I••••••••• A••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-05-01)
Feb 4, 2026 · Advisor changed firm · fact
S••••• T••••• left A••••••• A••••••• S•••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2025-05-27)
Apr 10, 2025 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address