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 Peter Wathen
Feed of 09/14/2026
Also filed as Steve Wathen
At current firm
6 y
since Jun 25, 2020
In the industry
25 y
since Apr 12, 2001 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- Cresset Asset Management, LLC independent RIA currentsince Jun 25, 2020 · Chicago, Il
- Hightower Advisors, LLC BD affiliatedAug 3, 2011 to Mar 10, 2016 · Reston, Va
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 10, 2010 to Aug 2, 2011 · Washington, Dc
- Morgan Stanley wirehouseJan 29, 2010 to Jul 2, 2010 · Washington, Dc
- Wells Fargo Advisors wirehouseDec 22, 2009 to Jan 26, 2010 · Washington, Dc
- Morgan Stanley wirehouseJun 1, 2009 to Nov 27, 2009 · Washington, Dc
- Morgan Stanley & Co. LLC unclassifiedFeb 21, 2008 to Jun 1, 2009 · Baltimore, Md
- Wells Fargo Advisors wirehouseJul 1, 2003 to Jan 14, 2008 · Washington, Dc
- Prudential Equity Group, LLC unclassifiedAug 13, 2001 to Jul 1, 2003 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- Hightower Advisors, LLC to Cresset Asset Management, LLCleft Mar 10, 2016, registered Jun 25, 2020 (1568 days) · Other · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Hightower Advisors, LLCleft Aug 2, 2011, registered Aug 3, 2011 (1 days) · Other
- Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jul 2, 2010, registered Aug 10, 2010 (39 days) · Wirehouse to wirehouse
- Wells Fargo Advisors to Morgan Stanleyleft Jan 26, 2010, registered Jan 29, 2010 (3 days) · Wirehouse to wirehouse
- Morgan Stanley to Wells Fargo Advisorsleft Nov 27, 2009, registered Dec 22, 2009 (25 days) · Wirehouse to wirehouse
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Morgan Stanley & Co. LLCleft Jan 14, 2008, registered Feb 21, 2008 (38 days) · Other
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address