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•••••••• D••••

O•••• W•••••• I•••BD affiliatedCharlotte, Nc dual registrantIAPD 6829601

Feed of 09/14/2026

Also filed as Stephanie Renee Davis

At current firm

2 y

since Dec 20, 2023

In the industry

13 y

since Aug 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Dec 20, 2023 · Charlotte, Nc
C••••• A••••••• L•• former
Dec 2, 2022 to Mar 14, 2023 · Scottsdale, Az
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 3, 2021 to Oct 21, 2022 · Scottsdale, Az
V••••••• A•••••••• I••• BD affiliated
Nov 7, 2019 to Sep 30, 2021 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C••••• A••••••• L•• to O•••• W•••••• I•••
left Mar 14, 2023, registered Dec 20, 2023 (281 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to C••••• A••••••• L••
left Oct 21, 2022, registered Dec 2, 2022 (42 days) · Affiliated broker-dealer or bank to another
V••••••• A•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 30, 2021, registered Nov 3, 2021 (34 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

S•••••••• D•••• left C••••• A••••••• L•• for O•••• W•••••• I••• (registered 2023-12-20)
Mar 14, 2023 · Advisor changed firm · fact
S•••••••• D•••• left F••••••• P••••••• A•• W•••••••• A••••••• for C••••• A••••••• L•• (registered 2022-12-02)
Oct 21, 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