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 Adam Mazer

Mariner Independentindependent RIAAnnapolis, MdIA-onlyIAPD 2362361

Feed of 09/14/2026

At current firm

2 y

since Jan 17, 2024

In the industry

17 y

since Feb 4, 2009 (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

Mariner Independent independent RIA current
since Jan 17, 2024 · Annapolis, Md
Cetera Investment Advisers LLC BD affiliated
Jun 29, 2023 to Jan 19, 2024 · Annapolis, Md
Cetera Advisor Networks LLC former
Feb 17, 2023 to Jun 29, 2023 · Mission Viejo, Ca
Creative Planning Institutional Advisors, LLC institutional
Apr 15, 2022 to Jan 22, 2024 · Newport Beach, Ca
Capital One Investing, Inc. former
Apr 24, 2020 to Apr 14, 2022 · Annapolis, Md
MML Investors Services, LLC BD affiliated
Feb 4, 2009 to Dec 31, 2009 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

Creative Planning Institutional Advisors, LLC to Cetera Advisor Networks LLC
left Jan 22, 2024, registered Feb 17, 2023 (-339 days) · Other
Cetera Investment Advisers LLC to Mariner Independent
left Jan 19, 2024, registered Jan 17, 2024 (-2 days) · Affiliated broker-dealer or bank to independent RIA
Cetera Advisor Networks LLC to Cetera Investment Advisers LLC
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
Capital One Investing, Inc. to Creative Planning Institutional Advisors, LLC
left Apr 14, 2022, registered Apr 15, 2022 (1 days) · Other · moved with a team
MML Investors Services, LLC to Capital One Investing, Inc.
left Dec 31, 2009, registered Apr 24, 2020 (3767 days) · Other

Signals

Stephen Adam Mazer left Creative Planning Institutional Advisors, Llc for Cetera Advisor Networks Llc (registered 2023-02-17)
Jan 22, 2024 · Advisor changed firm · fact
Stephen Adam Mazer left Cetera Investment Advisers Llc for Mariner Independent (registered 2024-01-17)
Jan 19, 2024 · Advisor changed firm · fact
Stephen Adam Mazer left Capital One Investing, Inc. for Creative Planning Institutional Advisors, Llc (registered 2022-04-15)
Apr 14, 2022 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address