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 Oneal
At current firm
4 y
since Dec 6, 2021
In the industry
32 y
since Oct 11, 1993 (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
- Sharebuilder 401k no RAUM currentsince Dec 6, 2021 · Woodlands, Tx
- Allstate Financial Advisors, LLC BD affiliatedAug 18, 2021 to Nov 23, 2021 · Spring, Tx
- Capital One Advisors, LLC formerDec 16, 2015 to Apr 9, 2019 · Mclean, Va
- Valic Financial Advisors, Inc. BD affiliatedAug 2, 2013 to Dec 17, 2015 · Houston, Tx
- Woodbury Financial Services, Inc. formerAug 2, 2010 to Aug 7, 2013 · Humble, Tx
- Comerica Securities formerFeb 29, 2008 to Aug 4, 2010 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- Allstate Financial Advisors, LLC to Sharebuilder 401kleft Nov 23, 2021, registered Dec 6, 2021 (13 days) · Other
- Capital One Advisors, LLC to Allstate Financial Advisors, LLCleft Apr 9, 2019, registered Aug 18, 2021 (862 days) · Other
- Valic Financial Advisors, Inc. to Capital One Advisors, LLCleft Dec 17, 2015, registered Dec 16, 2015 (-1 days) · Other
- Woodbury Financial Services, Inc. to Valic Financial Advisors, Inc.left Aug 7, 2013, registered Aug 2, 2013 (-5 days) · Other
- Comerica Securities to Woodbury Financial Services, Inc.left Aug 4, 2010, registered Aug 2, 2010 (-2 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
- No RAUM reportedderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address