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
Stuart Alan Epley
Feed of 09/15/2026
Also filed as Stuart A Epley
At current firm
6 y
since Oct 17, 2019
In the industry
27 y
since Aug 21, 1999 (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, 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
- Cl Wealth Management LLC independent RIA currentsince Oct 17, 2019 · Schaumburg, Il
- Sb Advisory, LLC independent RIAOct 23, 2012 to Oct 16, 2019 · Atlanta, Ga
- Ameriprise Financial Services, LLC national BDAug 7, 2009 to May 9, 2012 · Little Rock, Ar
- Raymond James & Associates, Inc. national BDAug 29, 2005 to Aug 17, 2009 · Rogers, Ar
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 6, 2002 to Aug 15, 2005 · Rogers, Ar
Moves
a registration end followed by a registration begin elsewhere
- Sb Advisory, LLC to Cl Wealth Management LLCleft Oct 16, 2019, registered Oct 17, 2019 (1 days) · Affiliated broker-dealer or bank to another
- Ameriprise Financial Services, LLC to Sb Advisory, LLCleft May 9, 2012, registered Oct 23, 2012 (167 days) · Other
- Raymond James & Associates, Inc. to Ameriprise Financial Services, LLCleft Aug 17, 2009, registered Aug 7, 2009 (-10 days) · Affiliated broker-dealer or bank to another
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Raymond James & Associates, Inc.left Aug 15, 2005, registered Aug 29, 2005 (14 days) · Wirehouse to affiliated broker-dealer or bank
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address