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••••• M••••••• P••••

D••• D••••••• • C••independent RIADenver, Co dual registrantIAPD 3074765

Feed of 09/15/2026

Also filed as Steve M••••••• P••••

At current firm

7 y

since May 23, 2019

In the industry

28 y

since Sep 4, 1998 (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

D••• D••••••• • C•• independent RIA current
since May 23, 2019 · Plano, Tx
W•••• N••••• • A••••••••• L••••• unclassified
Mar 27, 2009 to May 22, 2019 · Dallas, Tx
T•••• M•••••••• F•••••• G•••• L•• unclassified
Nov 27, 2007 to Aug 4, 2010 · Frisco, Tx
R•• C•••••• M••••••• L•• national BD
Feb 27, 2004 to Aug 10, 2007 · Plano, Tx
W•••••• R• H•••• • C•• unclassified
Sep 4, 1998 to Feb 27, 2004 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

W•••• N••••• • A••••••••• L••••• to D••• D••••••• • C••
left May 22, 2019, registered May 23, 2019 (1 days) · Other
T•••• M•••••••• F•••••• G•••• L•• to W•••• N••••• • A••••••••• L•••••
left Aug 4, 2010, registered Mar 27, 2009 (-495 days) · Other
R•• C•••••• M••••••• L•• to T•••• M•••••••• F•••••• G•••• L••
left Aug 10, 2007, registered Nov 27, 2007 (109 days) · Other
W•••••• R• H•••• • C•• to R•• C•••••• M••••••• L••
left Feb 27, 2004, registered Feb 27, 2004 (0 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address