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
Stephanie Leventis Diaz
Feed of 09/14/2026
Also filed as Stephanie Jean Leventis
At current firm
7 y
since Jun 19, 2019
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Jun 19, 2019 · Charlotte, Nc
- Foresters Advisory Services, LLC formerMay 23, 2019 to Jun 20, 2019 · Charlotte, Nc
- LPL Financial LLC BD affiliatedFeb 20, 2019 to Apr 23, 2019 · Fort Mill, Sc
- Foresters Advisory Services, LLC formerJan 23, 2018 to Feb 11, 2019 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Foresters Advisory Services, LLC to Cetera Investment Advisers LLCleft Jun 20, 2019, registered Jun 19, 2019 (-1 days) · corporate re-registration, not a move
- LPL Financial LLC to Foresters Advisory Services, LLCleft Apr 23, 2019, registered May 23, 2019 (30 days) · RIA to affiliated broker-dealer or bank
- Foresters Advisory Services, LLC to LPL Financial LLCleft Feb 11, 2019, registered Feb 20, 2019 (9 days) · Affiliated broker-dealer or bank to independent RIA
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address