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 Claude Carter
Feed of 09/17/2026
At current firm
0 y
since Aug 31, 2026
In the industry
12 y
since Oct 12, 2013 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Aug 31, 2026 · Ada, Mi
- Osaic Wealth, Inc. BD affiliatedNov 2, 2018 to Sep 2, 2026 · Grand Rapids, Mi
- Signator Investors, Inc. formerJul 7, 2017 to Nov 2, 2018 · Grand Rapids, Mi
- Royal Advisors, LLC formerMay 5, 2014 to Dec 31, 2016 · Grandville, Mi
- Regal Investment Advisors LLC BD affiliatedOct 15, 2013 to Mar 14, 2014 · Grand Rapids, Mi
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to LPL Financial LLCleft Sep 2, 2026, registered Aug 31, 2026 (-2 days) · Affiliated broker-dealer or bank to another
- Signator Investors, Inc. to Osaic Wealth, Inc.left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- Royal Advisors, LLC to Signator Investors, Inc.left Dec 31, 2016, registered Jul 7, 2017 (188 days) · Other · moved with a team
- Regal Investment Advisors LLC to Royal Advisors, LLCleft Mar 14, 2014, registered May 5, 2014 (52 days) · Other
Signals
- Stephen Claude Carter left Osaic Wealth, Inc. for Lpl Financial Llc (registered 2026-08-31)Sep 2, 2026 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address