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.

Registered advisor

Stephen Bene

Simplicity Wealthmixed wealthBerkeley Heights, Nj dual registrantIAPD 5919964

Feed of 09/15/2026

Also filed as Stephen Charles Bene

At current firm

1 y

since May 28, 2025

In the industry

14 y

since Nov 9, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Simplicity Wealth mixed wealth current
since May 28, 2025 · Summit, Nj
Prosperity Capital Advisors independent RIA
Nov 9, 2023 to May 19, 2025 · Berkeley Heights, Nj
M Holdings Securities, Inc. BD affiliated
Jul 5, 2019 to Mar 7, 2024 · Portland, Or
MML Investors Services, LLC BD affiliated
Feb 18, 2015 to Feb 25, 2019 · Warren, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 10, 2011 to Sep 15, 2014 · Bridgewater, Nj

Moves

a registration end followed by a registration begin elsewhere

Prosperity Capital Advisors to Simplicity Wealth
left May 19, 2025, registered May 28, 2025 (9 days) · RIA to RIA
M Holdings Securities, Inc. to Prosperity Capital Advisors
left Mar 7, 2024, registered Nov 9, 2023 (-119 days) · Affiliated broker-dealer or bank to independent RIA
MML Investors Services, LLC to M Holdings Securities, Inc.
left Feb 25, 2019, registered Jul 5, 2019 (130 days) · Affiliated broker-dealer or bank to another · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to MML Investors Services, LLC
left Sep 15, 2014, registered Feb 18, 2015 (156 days) · Other

Signals

Stephen Bene left Prosperity Capital Advisors for Simplicity Wealth (registered 2025-05-28)
May 19, 2025 · Advisor changed firm · fact
Stephen Bene left M Holdings Securities, Inc. for Prosperity Capital Advisors (registered 2023-11-09)
Mar 7, 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: Wealth manager with institutional or fund businessderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address