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.
Feed of 09/14/2026
Also filed as Steve Oldham
At current firm
6 y
since Jul 6, 2020
In the industry
33 y
since Nov 6, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Mainstreet Ria LLC other currentsince Jul 6, 2020 · O'Fallon, Mo
- Capital Management Services, Inc. independent RIAAug 1, 2019 to Oct 21, 2020 · Ofallon, Mo
- Valic Financial Advisors, Inc. BD affiliatedApr 16, 2012 to Aug 22, 2019 · Little Rock, Ar
- LPL Financial LLC BD affiliatedDec 18, 2002 to Apr 25, 2012 · Chesterfield, Mo
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 29, 1999 to Dec 12, 2002 · St Peters, Mo
Moves
a registration end followed by a registration begin elsewhere
- Capital Management Services, Inc. to Mainstreet Ria LLCleft Oct 21, 2020, registered Jul 6, 2020 (-107 days) · Other
- Valic Financial Advisors, Inc. to Capital Management Services, Inc.left Aug 22, 2019, registered Aug 1, 2019 (-21 days) · Affiliated broker-dealer or bank to independent RIA
- LPL Financial LLC to Valic Financial Advisors, Inc.left Apr 25, 2012, registered Apr 16, 2012 (-9 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to LPL Financial LLCleft Dec 12, 2002, registered Dec 18, 2002 (6 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
- Other adviserderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address