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•••• R••••• D•••

N•• Y••• L••• I••••••••• M••••••••• L••asset managerNew Y•••, Ny dual registrantIAPD 5542420

Feed of 09/15/2026

Also filed as Steve Doss

At current firm

3 y

since Feb 3, 2023

In the industry

14 y

since Sep 27, 2011 (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

N•• Y••• L••• I••••••••• M••••••••• L•• asset manager current
since Feb 3, 2023 · Bellaire, Tx
C••••••••• F•••••••• N•••••• national BD
Mar 4, 2022 to Feb 2, 2023 · Houston, Tx
A••••••••• L••• other
Jun 21, 2017 to Mar 14, 2022 · Houston, Tx
I•••••• A•••••••• I••• asset manager
Jan 3, 2014 to May 9, 2017 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to N•• Y••• L••• I••••••••• M••••••••• L••
left Feb 2, 2023, registered Feb 3, 2023 (1 days) · Other
A••••••••• L••• to C••••••••• F•••••••• N••••••
left Mar 14, 2022, registered Mar 4, 2022 (-10 days) · Other
I•••••• A•••••••• I••• to A••••••••• L•••
left May 9, 2017, registered Jun 21, 2017 (43 days) · Other

Signals

S•••• R••••• D••• left C••••••••• F•••••••• N•••••• for N•• Y••• L••• I••••••••• M••••••••• L•• (registered 2023-02-03)
Feb 2, 2023 · Advisor changed firm · fact
S•••• R••••• D••• left A••••••••• L••• for C••••••••• F•••••••• N•••••• (registered 2022-03-04)
Mar 14, 2022 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address