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••••••• N••••• S•••••

S••• W••••• L••BD affiliatedSan Francisco, Ca dual registrantIAPD 5779400

Feed of 09/15/2026

Also filed as Stefanie Swezey

At current firm

5 y

since Jul 1, 2021

In the industry

15 y

since Dec 20, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••• W••••• L•• BD affiliated current
since Jul 1, 2021 · San Francisco, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 2, 2020 to Mar 26, 2021 · Leesburg, Va
S•••••••• I••••••••• M••••••••• former
Jan 30, 2017 to Mar 8, 2018 · Saint Louis, Mo
P•• W••••• M••••••••• BD affiliated
Apr 8, 2016 to Oct 26, 2016 · Bethesda, Md
C•••••• S••••• • C••• I••• national BD
Feb 9, 2015 to Mar 11, 2016 · Columbia, Md
W•••• F•••• A••••••• wirehouse
Nov 4, 2013 to Jan 14, 2015 · Falls Church, Va

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to S••• W••••• L••
left Mar 26, 2021, registered Jul 1, 2021 (97 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• I••••••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left Mar 8, 2018, registered Mar 2, 2020 (725 days) · Affiliated broker-dealer or bank to another · moved with a team
P•• W••••• M••••••••• to S•••••••• I••••••••• M•••••••••
left Oct 26, 2016, registered Jan 30, 2017 (96 days) · Other
C•••••• S••••• • C••• I••• to P•• W••••• M•••••••••
left Mar 11, 2016, registered Apr 8, 2016 (28 days) · Other
W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••
left Jan 14, 2015, registered Feb 9, 2015 (26 days) · Wirehouse to affiliated broker-dealer or bank

Signals

No dated event on this person.

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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address