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••••• M•••••• M••••••

M•• C•••••• M••••••••• L••independent RIACleveland, Oh IA-onlyIAPD 5489469

Certified Financial Planner

Feed of 09/15/2026

Also filed as Steve M••••••

At current firm

1 y

since Oct 3, 2024

In the industry

18 y

since Apr 7, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• C•••••• M••••••••• L•• independent RIA current
since Oct 3, 2024 · Spring Hill, Tn
B•••• C•••••• M••••••••• L•• former
Feb 25, 2019 to Oct 4, 2024 · Cincinnati, Oh
A•••••• C•••••• M••••••••• L•• unclassified
Jan 2, 2015 to Sep 1, 2015 · Cincinnati, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Feb 19, 2014 to Jan 20, 2015 · Cincinnati, Oh
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 6, 2011 to Feb 18, 2014 · Cincinnati, Oh
T• A••••••••• I••• former
Jun 6, 2011 to Feb 18, 2014 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

B•••• C•••••• M••••••••• L•• to M•• C•••••• M••••••••• L••
left Oct 4, 2024, registered Oct 3, 2024 (-1 days) · RIA to RIA
A•••••• C•••••• M••••••••• L•• to B•••• C•••••• M••••••••• L••
left Sep 1, 2015, registered Feb 25, 2019 (1273 days) · Other
F•••• T•••• S••••••••• I••• to A•••••• C•••••• M••••••••• L••
left Jan 20, 2015, registered Jan 2, 2015 (-18 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 18, 2014, registered Jun 6, 2011 (-988 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to F•••• T•••• S••••••••• I•••
left Feb 18, 2014, registered Feb 19, 2014 (1 days) · Other

Signals

S••••• M•••••• M•••••• left B•••• C•••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-10-03)
Oct 4, 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: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address