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••••• P•••••• H•••••

L•• F•••••••• L••BD affiliatedFletcher, Nc dual registrantIAPD 4145328

Certified Financial Planner

Feed of 09/15/2026

Also filed as Steven P Harder

At current firm

2 y

since Jul 10, 2024

In the industry

26 y

since Apr 14, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jul 10, 2024 · Fletcher, Nc
N••••• mixed wealth
Sep 7, 2023 to Jun 7, 2024 · Mooresville, Nc
V••••••• A•••••••• I••• BD affiliated
Oct 14, 2021 to Jul 25, 2023 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Feb 22, 2019 to Oct 13, 2021 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 12, 2014 to Aug 15, 2018 · Mooresville, Nc
W•••• F•••• A••••••• wirehouse
Jan 11, 2012 to Sep 2, 2014 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Feb 11, 2011 to Jul 21, 2011 · Charlotte, Nc
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jan 31, 2006 to Jul 31, 2009 · Charlotte, Nc
A••••• A•• P••••••• S••••••• BD affiliated
Mar 24, 2005 to Jan 6, 2006 · Charlotte, Nc
T•••••••• T•••• C••••••• F•• unclassified
Oct 28, 2004 to Mar 24, 2005 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

N••••• to L•• F•••••••• L••
left Jun 7, 2024, registered Jul 10, 2024 (33 days) · RIA to affiliated broker-dealer or bank
V••••••• A•••••••• I••• to N•••••
left Jul 25, 2023, registered Sep 7, 2023 (44 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to V••••••• A•••••••• I•••
left Oct 13, 2021, registered Oct 14, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Aug 15, 2018, registered Feb 22, 2019 (191 days) · Wirehouse to wirehouse · moved with a team
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 2, 2014, registered Sep 12, 2014 (10 days) · Wirehouse to wirehouse
U•••• F•••••••• S••••••• G••••• I••• to W•••• F•••• A•••••••
left Jul 31, 2009, registered Feb 11, 2011 (560 days) · Other
A••••• A•• P••••••• S••••••• to U•••• F•••••••• S••••••• G••••• I•••
left Jan 6, 2006, registered Jan 31, 2006 (25 days) · Other
T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••
left Mar 24, 2005, registered Mar 24, 2005 (0 days) · Other

Signals

S••••• P•••••• H••••• left Namcoa for L•• F•••••••• L•• (registered 2024-07-10)
Jun 7, 2024 · Advisor changed firm · fact
S••••• P•••••• H••••• left V••••••• A•••••••• I••• for Namcoa (registered 2023-09-07)
Jul 25, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address