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 Michael Goldstein
Certified Financial Planner
Feed of 09/15/2026
Also filed as Stephen Michael Goldstein
At current firm
1 y
since Aug 22, 2025
In the industry
31 y
since Jun 19, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- RBC Capital Markets, LLC national BD currentsince Aug 22, 2025 · Hunt Valley, Md
- Janney Montgomery Scott LLC BD affiliatedApr 15, 2009 to Aug 22, 2025 · Lutherville (Greenspring), Md
- Citigroup Global Markets Inc. BD affiliatedFeb 21, 2006 to Apr 21, 2009 · Pikesville, Md
- Legg Mason Wood Walker, Incorporated unclassifiedMay 5, 1998 to Feb 21, 2006 · Pikesville, Md
Moves
a registration end followed by a registration begin elsewhere
- Janney Montgomery Scott LLC to RBC Capital Markets, LLCleft Aug 22, 2025, registered Aug 22, 2025 (0 days) · Affiliated broker-dealer or bank to another
- Citigroup Global Markets Inc. to Janney Montgomery Scott LLCleft Apr 21, 2009, registered Apr 15, 2009 (-6 days) · Other
- Legg Mason Wood Walker, Incorporated to Citigroup Global Markets Inc.left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
Signals
- Stephen Michael Goldstein left Janney Montgomery Scott Llc for Rbc Capital Markets, Llc (registered 2025-08-22)Aug 22, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address