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 Sliwa
Feed of 09/14/2026
Also filed as Steve Sliwa
At current firm
1 y
since Mar 31, 2025
In the industry
14 y
since Aug 1, 2012 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Brookfield, Wi
- Fidelity Personal And Workplace Advisors formerSep 8, 2023 to Mar 31, 2025 · Mequon, Wi
- E*Trade Capital Management, LLC formerAug 3, 2022 to Aug 21, 2023 · Arlington, Va
- Charles Schwab & Co., Inc. national BDApr 12, 2022 to Jun 24, 2022 · Brookfield, Wi
- Td Ameritrade Investment Management, LLC formerJan 25, 2022 to Jun 24, 2022 · Brrokfield, Wi
- Td Ameritrade, Inc. formerJan 25, 2022 to Jun 24, 2022 · Brookfield, Wi
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 13, 2018 to Jan 19, 2022 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E*Trade Capital Management, LLC to Fidelity Personal And Workplace Advisorsleft Aug 21, 2023, registered Sep 8, 2023 (18 days) · RIA to affiliated broker-dealer or bank
- Td Ameritrade Investment Management, LLC to Charles Schwab & Co., Inc.left Jun 24, 2022, registered Apr 12, 2022 (-73 days) · channel change inside one enterprise, not a move
- Charles Schwab & Co., Inc. to E*Trade Capital Management, LLCleft Jun 24, 2022, registered Aug 3, 2022 (40 days) · Affiliated broker-dealer or bank to independent RIA
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Jun 24, 2022, registered Jan 25, 2022 (-150 days) · channel change inside one enterprise, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Td Ameritrade, Inc.left Jan 19, 2022, registered Jan 25, 2022 (6 days) · Other
Signals
- Stephen Sliwa left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-09-08)Aug 21, 2023 · Advisor changed firm · fact
- Stephen Sliwa left Charles Schwab & Co., Inc. for E*Trade Capital Management, Llc (registered 2022-08-03)Jun 24, 2022 · Advisor changed firm · fact
- Stephen Sliwa left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Td Ameritrade, Inc. (registered 2022-01-25)Jan 19, 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address