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
Steven Prumo
Feed of 09/18/2026
Also filed as Steven Michael Prumo
At current firm
0 y
since Sep 17, 2026
In the industry
30 y
since Oct 9, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Advisory Services Network independent RIA currentsince Sep 17, 2026 · Atlanta, Ga
- Prumo Wealth Management, LLC unclassifiedMar 9, 2026 to Aug 19, 2026 · Townson, Md
- Morgan Stanley wirehouseOct 6, 2023 to Oct 31, 2025 · Towson, Md
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 9, 2010 to Oct 11, 2023 · Towson, Md
- Citigroup Global Markets Inc. BD affiliatedOct 19, 1999 to Mar 21, 2003 · Baltimore, Md
Moves
a registration end followed by a registration begin elsewhere
- Prumo Wealth Management, LLC to Advisory Services Networkleft Aug 19, 2026, registered Sep 17, 2026 (29 days) · Other
- Morgan Stanley to Prumo Wealth Management, LLCleft Oct 31, 2025, registered Mar 9, 2026 (129 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanleyleft Oct 11, 2023, registered Oct 6, 2023 (-5 days) · Wirehouse to wirehouse
- Citigroup Global Markets Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 21, 2003, registered Sep 9, 2010 (2729 days) · Other
Signals
- Steven Prumo registered as an investment adviser representative at Advisory Services NetworkSep 17, 2026 · Advisor registered · fact
- Steven Prumo left Prumo Wealth Management, LLC for Advisory Services Network (registered 2026-09-17)Aug 19, 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address