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.
Feed of 09/14/2026
Also filed as Steve Hartel
At current firm
3 y
since Sep 11, 2023
In the industry
27 y
since Aug 2, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Maia Wealth independent RIA currentsince Sep 11, 2023 · Denver, Co
- LPL Financial LLC BD affiliatedNov 29, 2017 to Apr 17, 2018 · Denver, Co
- Trilogy Capital, Inc. independent RIAJan 30, 2017 to Sep 12, 2023 · Denver, Co
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerSep 14, 2010 to Nov 29, 2017 · Woburn, Ma
- Stephen A. Hartel unclassifiedFeb 22, 2005 to Dec 31, 2005 · Andover, Ma
- Aspyre Wealth Partners independent RIAAug 2, 1999 to Dec 31, 2002 · Andover, Ma
Moves
a registration end followed by a registration begin elsewhere
- Trilogy Capital, Inc. to LPL Financial LLCleft Sep 12, 2023, registered Nov 29, 2017 (-2113 days) · RIA to RIA
- LPL Financial LLC to Maia Wealthleft Apr 17, 2018, registered Sep 11, 2023 (1973 days) · RIA to RIA
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Trilogy Capital, Inc.left Nov 29, 2017, registered Jan 30, 2017 (-303 days) · Other · moved with a team
- Stephen A. Hartel to National Planning Corporation ("Npc Of America" In Fl & Ny)left Dec 31, 2005, registered Sep 14, 2010 (1718 days) · Other
- Aspyre Wealth Partners to Stephen A. Hartelleft Dec 31, 2002, registered Feb 22, 2005 (784 days) · Other
Signals
- Stephen Allen Hartel left Trilogy Capital, Inc. for Lpl Financial Llc (registered 2017-11-29)Sep 12, 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address