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 Costa
Raymond James Financial Services Advisors, IncBD affiliatedVero Beach, Fldual registrantIAPD 6103205
Feed of 09/14/2026
Also filed as Stephen Costa
At current firm
2 y
since Nov 3, 2023
In the industry
13 y
since Nov 1, 2012 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Raymond James Financial Services Advisors, Inc BD affiliated currentsince Nov 3, 2023 · Vero Beach, Fl
- Td Private Client Wealth LLC BD affiliatedJun 7, 2023 to Oct 30, 2023 · Port St. Lucie, Fl
- Fisher Investments independent RIAMar 17, 2022 to Dec 12, 2022 · Vero Beach, Fl
- E*Trade Capital Management, LLC formerMay 7, 2019 to Mar 4, 2022 · Arlington, Va
- Td Ameritrade, Inc. formerSep 21, 2016 to Apr 22, 2019 · Boston, Ma
- Td Ameritrade Investment Management, LLC formerSep 21, 2016 to Apr 22, 2019 · Quincy, Ma
- Flagship Harbor Advisors, LLC independent RIAJun 7, 2016 to Aug 17, 2016 · Boston, Ma
- Strategic Advisers LLC national BDAug 25, 2015 to Sep 23, 2016 · Braintree, Ma
- Manulife Investment Management (US) LLC asset managerApr 8, 2013 to Jun 26, 2015 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- Td Private Client Wealth LLC to Raymond James Financial Services Advisors, Incleft Oct 30, 2023, registered Nov 3, 2023 (4 days) · Affiliated broker-dealer or bank to another
- Fisher Investments to Td Private Client Wealth LLCleft Dec 12, 2022, registered Jun 7, 2023 (177 days) · RIA to affiliated broker-dealer or bank
- E*Trade Capital Management, LLC to Fisher Investmentsleft Mar 4, 2022, registered Mar 17, 2022 (13 days) · RIA to RIA
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Apr 22, 2019, registered Sep 21, 2016 (-943 days) · channel change inside one enterprise, not a move
- Td Ameritrade Investment Management, LLC to E*Trade Capital Management, LLCleft Apr 22, 2019, registered May 7, 2019 (15 days) · RIA to RIA
- Strategic Advisers LLC to Flagship Harbor Advisors, LLCleft Sep 23, 2016, registered Jun 7, 2016 (-108 days) · Other
- Flagship Harbor Advisors, LLC to Td Ameritrade, Inc.left Aug 17, 2016, registered Sep 21, 2016 (35 days) · Other
- Manulife Investment Management (US) LLC to Strategic Advisers LLCleft Jun 26, 2015, registered Aug 25, 2015 (60 days) · Other
Signals
- Stephen Costa left Td Private Client Wealth Llc for Raymond James Financial Services Advisors, Inc (registered 2023-11-03)Oct 30, 2023 · Advisor changed firm · fact
- Stephen Costa left Fisher Investments for Td Private Client Wealth Llc (registered 2023-06-07)Dec 12, 2022 · Advisor changed firm · fact
- Stephen Costa left E*Trade Capital Management, Llc for Fisher Investments (registered 2022-03-17)Mar 4, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address