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

Ian Stephens

Commonwealth Financial Networknational BDWaltham, Madual registrantIAPD 2790543

Feed of 09/14/2026

Also filed as Ian Stephens

At current firm

0 y

since Jul 30, 2026

In the industry

29 y

since Nov 6, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Commonwealth Financial Network national BD current
since Jul 30, 2026 · Waltham, Ma
John Hancock Investment Management LLC asset manager
Aug 23, 2022 to May 25, 2026 · Boston, Ma
Edward Jones national BD
Dec 11, 2019 to Oct 4, 2021 · Peabody, Ma
E*Trade Capital Management, LLC former
Feb 22, 2019 to Dec 6, 2019 · Boston, Ma
Edward Jones national BD
Aug 22, 2017 to Jan 31, 2019 · Marblehead, Ma
Natixis Advisors, LLC BD affiliated
Feb 14, 2011 to Jul 17, 2017 · Boston, Ma
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 28, 2008 to Mar 19, 2010 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

John Hancock Investment Management LLC to Commonwealth Financial Network
left May 25, 2026, registered Jul 30, 2026 (66 days) · Other
Edward Jones to John Hancock Investment Management LLC
left Oct 4, 2021, registered Aug 23, 2022 (323 days) · Other
E*Trade Capital Management, LLC to Edward Jones
left Dec 6, 2019, registered Dec 11, 2019 (5 days) · RIA to affiliated broker-dealer or bank
Edward Jones to E*Trade Capital Management, LLC
left Jan 31, 2019, registered Feb 22, 2019 (22 days) · Affiliated broker-dealer or bank to independent RIA
Natixis Advisors, LLC to Edward Jones
left Jul 17, 2017, registered Aug 22, 2017 (36 days) · Other · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Natixis Advisors, LLC
left Mar 19, 2010, registered Feb 14, 2011 (332 days) · Other

Signals

Ian Stephens left John Hancock Investment Management Llc for Commonwealth Financial Network (registered 2026-07-30)
May 25, 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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address