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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• E••••• M••••

W••••••••• A•••• I••••••••• A•••••••• L••state registeredYork, PaIA-onlyIAPD 6710687

Feed of 09/14/2026

Also filed as Steve M••••

At current firm

0 y

since Feb 19, 2026

In the industry

9 y

since Oct 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••••••• A•••• I••••••••• A•••••••• L•• state registered current
since Feb 19, 2026 · York, Pa
M•• I•••••••• S•••••••• L•• BD affiliated
Oct 21, 2025 to Jan 28, 2026 · Denver, Pa
T••••••• I••••••••• M••••••••• I••• BD affiliated
Aug 25, 2022 to Sep 9, 2025 · Minneapolis, Mn
V••••••• A•••••••• I••• BD affiliated
Sep 5, 2019 to Aug 23, 2022 · Malvern, Pa

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to W••••••••• A•••• I••••••••• A•••••••• L••
left Jan 28, 2026, registered Feb 19, 2026 (22 days) · Affiliated broker-dealer or bank to a state-registered adviser
T••••••• I••••••••• M••••••••• I••• to M•• I•••••••• S•••••••• L••
left Sep 9, 2025, registered Oct 21, 2025 (42 days) · Affiliated broker-dealer or bank to another
V••••••• A•••••••• I••• to T••••••• I••••••••• M••••••••• I•••
left Aug 23, 2022, registered Aug 25, 2022 (2 days) · Affiliated broker-dealer or bank to another

Signals

S••••• E••••• M•••• left M•• I•••••••• S•••••••• L•• for W••••••••• A•••• I••••••••• A•••••••• L•• (registered 2026-02-19)
Jan 28, 2026 · Advisor changed firm · fact
S••••• E••••• M•••• left T••••••• I••••••••• M••••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2025-10-21)
Sep 9, 2025 · Advisor changed firm · fact
S••••• E••••• M•••• left V••••••• A•••••••• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2022-08-25)
Aug 23, 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: STATE REGISTEREDderived
Years in industry: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address