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

L•••• M•••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedSarasota, Fl IA-onlyIAPD 4525025

Certified Financial Planner

Feed of 09/15/2026

Also filed as Laura Hillary Stepien

At current firm

2 y

since Jun 21, 2024

In the industry

24 y

since Aug 7, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jun 21, 2024 · Sarasota, Fl
A•••• F•••••••• F••••••••• L•• former
Jul 28, 2020 to Jun 18, 2024 · Sarasota, Fl
S•••••••• W••••• M••••••••• L•• former
Aug 14, 2018 to Aug 17, 2020 · Sarasota, Fl
C••••••••• A••••••• independent RIA
Dec 19, 2016 to Nov 2, 2017 · Sarasota, Fl
A• N•• A••••••• F•••••••• P••••••• unclassified
Feb 9, 2016 to Dec 10, 2016 · Sarasota, Fl
B•••• F•••••••• G•••• L•• independent RIA
Apr 11, 2008 to Dec 22, 2015 · Fair Lawn, Nj
O•••• F•• I••• former
Sep 24, 2004 to Mar 14, 2005 · Rochelle Park, Nj
E•••••••• A•••••••• L•• national BD
Aug 26, 2002 to Oct 1, 2002 · Morristown, Nj

Moves

a registration end followed by a registration begin elsewhere

A•••• F•••••••• F••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left Jun 18, 2024, registered Jun 21, 2024 (3 days) · RIA to RIA · moved with a team
S•••••••• W••••• M••••••••• L•• to A•••• F•••••••• F••••••••• L••
left Aug 17, 2020, registered Jul 28, 2020 (-20 days) · RIA to a newly registered adviser
C••••••••• A••••••• to S•••••••• W••••• M••••••••• L••
left Nov 2, 2017, registered Aug 14, 2018 (285 days) · RIA to RIA
A• N•• A••••••• F•••••••• P••••••• to C••••••••• A•••••••
left Dec 10, 2016, registered Dec 19, 2016 (9 days) · Other
B•••• F•••••••• G•••• L•• to A• N•• A••••••• F•••••••• P•••••••
left Dec 22, 2015, registered Feb 9, 2016 (49 days) · Other
O•••• F•• I••• to B•••• F•••••••• G•••• L••
left Mar 14, 2005, registered Apr 11, 2008 (1124 days) · Other
E•••••••• A•••••••• L•• to O•••• F•• I•••
left Oct 1, 2002, registered Sep 24, 2004 (724 days) · Other

Signals

L•••• M••••• left A•••• F•••••••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-21)
Jun 18, 2024 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address