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 John Carew

LPL Financial LLCBD affiliatedAuburn, Medual registrantIAPD 2614343

Feed of 09/14/2026

Also filed as Steve John Carew

At current firm

0 y

since Aug 12, 2026

In the industry

31 y

since May 19, 1995 (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

LPL Financial LLC BD affiliated current
since Aug 12, 2026 · Auburn, Me
Osaic Wealth, Inc. BD affiliated
Sep 1, 2023 to Aug 14, 2026 · Portland, Me
Sagepoint Financial, Inc. former
Feb 23, 2018 to Sep 1, 2023 · Auburn, Me
MML Investors Services, LLC BD affiliated
Mar 25, 2017 to Feb 26, 2018 · Lewiston, Me
Msi Financial Services, Inc. former
Jan 2, 2015 to Mar 25, 2017 · Lewiston, Me
New England Securities Corporation former
Oct 25, 2000 to Jan 2, 2015 · Portland, Me

Moves

a registration end followed by a registration begin elsewhere

Osaic Wealth, Inc. to LPL Financial LLC
left Aug 14, 2026, registered Aug 12, 2026 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
Sagepoint Financial, Inc. to Osaic Wealth, Inc.
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
MML Investors Services, LLC to Sagepoint Financial, Inc.
left Feb 26, 2018, registered Feb 23, 2018 (-3 days) · Other · moved with a team
Msi Financial Services, Inc. to MML Investors Services, LLC
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
New England Securities Corporation to Msi Financial Services, Inc.
left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move

Signals

Stephen John Carew left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-12)
Aug 14, 2026 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address