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 David Dissette
Feed of 09/15/2026
Also filed as Stephen David Dissette
At current firm
12 y
since Sep 8, 2014
In the industry
29 y
since May 9, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Horter Investment Management, LLC independent RIA currentsince Sep 8, 2014 · Trail Creek, In
- Transamerica Financial Advisors, LLC BD affiliatedJan 6, 2012 to Sep 4, 2014 · Oakbrook Terrace, Il
- Investment Advisors International, Inc. unclassifiedNov 8, 2010 to Jan 6, 2012 · Oak Brook, Il
- Redhawk Wealth Advisors, Inc. independent RIAOct 31, 2008 to Jul 27, 2010 · Palos Hills, Il
- American Investment Services formerApr 1, 2008 to Dec 22, 2009 · Evergreen Park, Il
- Investment Advisors International, Inc. unclassifiedSep 7, 2007 to Mar 26, 2008 · Hickory Hills, Il
Moves
a registration end followed by a registration begin elsewhere
- Transamerica Financial Advisors, LLC to Horter Investment Management, LLCleft Sep 4, 2014, registered Sep 8, 2014 (4 days) · Other
- Investment Advisors International, Inc. to Transamerica Financial Advisors, LLCleft Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
- Redhawk Wealth Advisors, Inc. to Investment Advisors International, Inc.left Jul 27, 2010, registered Nov 8, 2010 (104 days) · Other
- American Investment Services to Redhawk Wealth Advisors, Inc.left Dec 22, 2009, registered Oct 31, 2008 (-417 days) · Other
- Investment Advisors International, Inc. to American Investment Servicesleft Mar 26, 2008, registered Apr 1, 2008 (6 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address