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
Stephen Ernest Norton
Feed of 09/14/2026
Also filed as Stephen Ernest Norton
At current firm
0 y
since Jun 18, 2026
In the industry
35 y
since Mar 18, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Mai Capital Management, LLC independent RIA currentsince Jun 18, 2026 · Old Saybrook, Ct
- Saybrook Wealth Group, Inc. formerJan 4, 2022 to Jun 19, 2026 · Old Saybrook, Ct
- Raymond James Financial Services Advisors, Inc BD affiliatedJan 2, 2009 to Dec 31, 2021 · Old Saybrook, Ct
- Raymond James Financial Services, Inc. unclassifiedDec 17, 2007 to Jan 2, 2009 · Old Saybrook, Ct
- UBS Financial Services Inc. wirehouseOct 4, 2000 to Dec 17, 2007 · New Haven, Ct
Moves
a registration end followed by a registration begin elsewhere
- Saybrook Wealth Group, Inc. to Mai Capital Management, LLCleft Jun 19, 2026, registered Jun 18, 2026 (-1 days) · RIA to RIA
- Raymond James Financial Services Advisors, Inc to Saybrook Wealth Group, Inc.left Dec 31, 2021, registered Jan 4, 2022 (4 days) · Affiliated broker-dealer or bank to a newly registered adviser
- Raymond James Financial Services, Inc. to Raymond James Financial Services Advisors, Incleft Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- UBS Financial Services Inc. to Raymond James Financial Services, Inc.left Dec 17, 2007, registered Dec 17, 2007 (0 days) · Other
Signals
- Stephen Ernest Norton left Saybrook Wealth Group, Inc. for Mai Capital Management, Llc (registered 2026-06-18)Jun 19, 2026 · 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address