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• D•••••

C••••• I••••••••• A••••••• L••BD affiliatedTucson, Az dual registrantIAPD 5538229

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Steve D•••••

At current firm

2 y

since Jun 18, 2024

In the industry

18 y

since Sep 13, 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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 18, 2024 · Bedford, Nh
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Nov 12, 2018 to Jun 26, 2024 · Bedford, Nh
B••••• W••••• M••••••••• L•• independent RIA
Dec 20, 2013 to Nov 29, 2018 · Bedford, Nh
B••••• W••••• M••••••••• L•• former
May 28, 2009 to Dec 31, 2013 · Bedford, Nh

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Jun 26, 2024, registered Jun 18, 2024 (-8 days) · Affiliated broker-dealer or bank to another
B••••• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 29, 2018, registered Nov 12, 2018 (-17 days) · RIA to affiliated broker-dealer or bank
B••••• W••••• M••••••••• L•• to B••••• W••••• M••••••••• L••
left Dec 31, 2013, registered Dec 20, 2013 (-11 days) · channel change inside one enterprise, not a move

Signals

S••••• M• D••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-06-18)
Jun 26, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address