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•••••• E••••• W•••••

L•• F•••••••• L••BD affiliatedSan Antonio, Tx dual registrantIAPD 457360

Feed of 09/15/2026

Also filed as Steve W•••••

At current firm

3 y

since Mar 24, 2023

In the industry

40 y

since Jun 25, 1986 (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 Mar 24, 2023 · San Antonio, Tx
S••••••••• A•••••• A•••••••• I••• former
Aug 22, 2017 to Mar 30, 2023 · San Antonio, Tx
T•• Q••••••••• G••••• L••• unclassified
Sep 23, 2005 to Nov 7, 2007 · San Antonio, Tx
W•• A•••••••• L• former
Jul 2, 2004 to Aug 24, 2017 · San Antonio, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 20, 1994 to Jul 12, 2004 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
left Mar 30, 2023, registered Mar 24, 2023 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
W•• A•••••••• L• to T•• Q••••••••• G••••• L•••
left Aug 24, 2017, registered Sep 23, 2005 (-4353 days) · Other
T•• Q••••••••• G••••• L••• to S••••••••• A•••••• A•••••••• I•••
left Nov 7, 2007, registered Aug 22, 2017 (3576 days) · Other
C•••••••• G••••• M•••••• I••• to W•• A•••••••• L•
left Jul 12, 2004, registered Jul 2, 2004 (-10 days) · Other

Signals

S•••••• E••••• W••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-03-24)
Mar 30, 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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address