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 Douglas Norton
Feed of 09/14/2026
At current firm
0 y
since Mar 25, 2026
In the industry
26 y
since Oct 15, 1999 (earliest exam, job or registration)
Prior registered firms
11
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Coppell Advisory Solutions LLC independent RIA currentsince Mar 25, 2026 · Belmont, Nc
- Cambridge Investment Research Advisors, Inc. BD affiliatedDec 8, 2025 to Mar 18, 2026 · Kings Mountain, Nc
- Dempsey Lord Smith, LLC formerJul 22, 2019 to Dec 8, 2025 · Rome, Ga
- Kalos Management formerJul 5, 2016 to Jul 22, 2019 · King'S Mountain, Nc
- Capital Guardian Wealth Management, LLC formerMay 25, 2012 to Jul 6, 2016 · Kings Mountain, Nc
- Capital Guardian Wealth Management, LLC formerJun 16, 2009 to Aug 20, 2009 · Miami, Fl
- Aegis Capital, LLC formerJan 27, 2009 to Mar 27, 2012 · Mount Pleasant, Sc
- Aegis Capital, LLC formerOct 4, 2006 to Dec 31, 2008 · Mount Pleasant, Sc
- Sagepoint Financial, Inc. formerOct 31, 2005 to Jul 12, 2006 · Matthews, Nc
- Sunamerica Securities, Inc. unclassifiedFeb 1, 2005 to Oct 31, 2005 · Matthews, Nc
- Aegis Capital, LLC formerAug 12, 2004 to Feb 1, 2005 · Cornelius, Nc
- Woodbury Financial Services, Inc. formerJun 27, 2003 to Aug 4, 2003 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to Coppell Advisory Solutions LLCleft Mar 18, 2026, registered Mar 25, 2026 (7 days) · Affiliated broker-dealer or bank to independent RIA
- Dempsey Lord Smith, LLC to Cambridge Investment Research Advisors, Inc.left Dec 8, 2025, registered Dec 8, 2025 (0 days) · corporate re-registration, not a move
- Kalos Management to Dempsey Lord Smith, LLCleft Jul 22, 2019, registered Jul 22, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Capital Guardian Wealth Management, LLC to Kalos Managementleft Jul 6, 2016, registered Jul 5, 2016 (-1 days) · Other
- Aegis Capital, LLC to Capital Guardian Wealth Management, LLCleft Mar 27, 2012, registered Jun 16, 2009 (-1015 days) · Other
- Sagepoint Financial, Inc. to Aegis Capital, LLCleft Jul 12, 2006, registered Oct 4, 2006 (84 days) · Other
- Sunamerica Securities, Inc. to Sagepoint Financial, Inc.left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- Aegis Capital, LLC to Sunamerica Securities, Inc.left Feb 1, 2005, registered Feb 1, 2005 (0 days) · Other
- Woodbury Financial Services, Inc. to Aegis Capital, LLCleft Aug 4, 2003, registered Aug 12, 2004 (374 days) · Other
Signals
- Stephen Douglas Norton left Cambridge Investment Research Advisors, Inc. for Coppell Advisory Solutions Llc (registered 2026-03-25)Mar 18, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address