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.

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Registered advisor

S•••••• A•••••• B•••

S••••• A••••••• I•••BD affiliatedWoburn, Ma dual registrantIAPD 2192544

Feed of 09/15/2026

Also filed as Steve B•••

At current firm

11 y

since Jan 30, 2015

In the industry

34 y

since Jan 8, 1992 (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

S••••• A••••••• I••• BD affiliated current
since Jan 30, 2015 · Woburn, Ma
S••••• A••• I••••••••• A•••••• S•••••••• I••• former
Apr 29, 2008 to Jan 30, 2015 · Woburn, Ma
K••••• A•••••••• I••• BD affiliated
Aug 15, 2006 to Apr 2, 2008 · Ft. Lauderdale, Fl
K••••• S••••••••• I••• unclassified
Apr 13, 2006 to Aug 15, 2006 · Stamford, Ct
L•• F•••••••• L•• BD affiliated
Jan 12, 2006 to Apr 3, 2006 · Woburn, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Dec 13, 2004 · Stoneham, Ma
Q•••• • R•••••• I••• unclassified
Jul 22, 2003 to Oct 20, 2004 · Stoneham, Ma

Moves

a registration end followed by a registration begin elsewhere

S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••
left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
K••••• A•••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••
left Apr 2, 2008, registered Apr 29, 2008 (27 days) · Other
K••••• S••••••••• I••• to K••••• A•••••••• I•••
left Aug 15, 2006, registered Aug 15, 2006 (0 days) · Other
L•• F•••••••• L•• to K••••• S••••••••• I•••
left Apr 3, 2006, registered Apr 13, 2006 (10 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••
left Dec 13, 2004, registered Jan 12, 2006 (395 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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: Broker-dealer affiliated wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address