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 Allen Bergeron
Feed of 09/14/2026
Also filed as Steve Bergeron
At current firm
13 y
since Jun 4, 2013
In the industry
34 y
since Sep 25, 1991 (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
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
- Wealthcare Capital Management LLC independent RIA currentsince Jun 4, 2013 · Keene, Nh
- Cambridge Investment Research Advisors, Inc. BD affiliatedJan 31, 2008 to Jun 17, 2013 · Keene, Nh
- Osaic Institutions, Inc. BD affiliatedMar 1, 2004 to Feb 1, 2008 · Keene, Nh
- LPL Financial LLC BD affiliatedJan 2, 2004 to Mar 9, 2004 · Keene, Nh
- Chittenden Securities, LLC. unclassifiedOct 13, 2003 to Jan 2, 2004 · Keene, Nh
- Osaic Institutions, Inc. BD affiliatedJun 27, 2001 to Oct 10, 2003 · Reene, Nh
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to Wealthcare Capital Management LLCleft Jun 17, 2013, registered Jun 4, 2013 (-13 days) · Other
- Osaic Institutions, Inc. to Cambridge Investment Research Advisors, Inc.left Feb 1, 2008, registered Jan 31, 2008 (-1 days) · Other
- LPL Financial LLC to Osaic Institutions, Inc.left Mar 9, 2004, registered Mar 1, 2004 (-8 days) · Other
- Chittenden Securities, LLC. to LPL Financial LLCleft Jan 2, 2004, registered Jan 2, 2004 (0 days) · Other
- Osaic Institutions, Inc. to Chittenden Securities, LLC.left Oct 10, 2003, registered Oct 13, 2003 (3 days) · Other
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address