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 Bergman
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as Stephen Bergman
At current firm
2 y
since Jul 2, 2024
In the industry
13 y
since Sep 1, 2013 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Jul 2, 2024 · Winnetka, Il
- Fiducient Advisors LLC mixed wealthJul 13, 2022 to Aug 19, 2022 · Chicago, Il
- Forum Financial Management, LP independent RIAJan 11, 2021 to Jul 26, 2021 · Lombard, Il
- Savant Wealth Management independent RIAFeb 25, 2020 to Dec 16, 2020 · Chicago, Il
- Huber Financial formerFeb 12, 2019 to Aug 2, 2020 · Lincolnshire, Il
- Vivaldi Capital Management LP formerNov 14, 2017 to Apr 30, 2018 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Fiducient Advisors LLC to J.P. Morgan Securities LLCleft Aug 19, 2022, registered Jul 2, 2024 (683 days) · RIA to wirehouse
- Forum Financial Management, LP to Fiducient Advisors LLCleft Jul 26, 2021, registered Jul 13, 2022 (352 days) · RIA to RIA
- Savant Wealth Management to Forum Financial Management, LPleft Dec 16, 2020, registered Jan 11, 2021 (26 days) · RIA to RIA
- Huber Financial to Savant Wealth Managementleft Aug 2, 2020, registered Feb 25, 2020 (-159 days) · RIA to RIA · moved with a team
- Vivaldi Capital Management LP to Huber Financialleft Apr 30, 2018, registered Feb 12, 2019 (288 days) · RIA to RIA
Signals
- Stephen Bergman left Fiducient Advisors Llc for J.P. Morgan Securities Llc (registered 2024-07-02)Aug 19, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address