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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• B••••••• M•••••

A••••••••• I•••BD affiliatedConcord, Ca IA-onlyIAPD 2941806

Feed of 09/14/2026

Also filed as Steve M•••••

At current firm

0 y

since Jun 24, 2026

In the industry

29 y

since Aug 25, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• I••• BD affiliated current
since Jun 24, 2026 · Cincinnati, Oh
E•••••••• A••••••• former
May 13, 2021 to Jun 1, 2026 · Cincinnati, Oh
S••••• M••••••••• independent RIA
Dec 6, 2018 to Dec 1, 2023 · North Little Rock, Ar
M••••• M••••• I••• mixed wealth
Jul 13, 2004 to Jun 27, 2018 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A••••••• to A••••••••• I•••
left Jun 1, 2026, registered Jun 24, 2026 (23 days) · RIA to affiliated broker-dealer or bank · moved with a team
S••••• M••••••••• to E•••••••• A•••••••
left Dec 1, 2023, registered May 13, 2021 (-932 days) · RIA to RIA · moved with a team
M••••• M••••• I••• to S••••• M•••••••••
left Jun 27, 2018, registered Dec 6, 2018 (162 days) · RIA to RIA

Signals

S••••• B••••••• M••••• left E•••••••• A••••••• for A••••••••• I••• (registered 2026-06-24)
Jun 1, 2026 · Advisor changed firm · fact
S••••• B••••••• M••••• left S••••• M••••••••• for E•••••••• A••••••• (registered 2021-05-13)
Dec 1, 2023 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address