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
Alberta Stephens Roberts
Feed of 09/14/2026
Also filed as Alberta Stephens
At current firm
10 y
since Mar 28, 2016
In the industry
30 y
since Nov 22, 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
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
- Bankers Life Advisory Services, Inc. BD affiliated currentsince Mar 28, 2016 · Chicago, Il
- M&I Financial Advisors, Inc. formerMar 23, 2012 to Aug 31, 2012 · Milwaukee, Wi
- Amcore Investment Services, Inc unclassifiedJul 2, 2010 to Sep 30, 2010 · Rockford, Il
- Bmo Harris Financial Advisors, Inc formerNov 4, 2005 to Oct 17, 2013 · Chicago, Il
- E*Trade Capital Management, LLC formerNov 20, 2002 to Dec 31, 2005 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Bmo Harris Financial Advisors, Inc to Amcore Investment Services, Incleft Oct 17, 2013, registered Jul 2, 2010 (-1203 days) · Other
- M&I Financial Advisors, Inc. to Bankers Life Advisory Services, Inc.left Aug 31, 2012, registered Mar 28, 2016 (1305 days) · Other
- Amcore Investment Services, Inc to M&I Financial Advisors, Inc.left Sep 30, 2010, registered Mar 23, 2012 (540 days) · Other
- E*Trade Capital Management, LLC to Bmo Harris Financial Advisors, Incleft Dec 31, 2005, registered Nov 4, 2005 (-57 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address