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•••••• A•••• S•••••

M••••• S••••••wirehouseTempe, Azdual registrantIAPD 7163272

Feed of 09/14/2026

Also filed as Stephan A•••• S•••••

At current firm

0 y

since Mar 24, 2026

In the industry

10 y

since Jul 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

M••••• S•••••• wirehouse current
since Mar 24, 2026 · Tempe, Az
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Apr 8, 2024 to Mar 11, 2026 · Queen Creek, Az
J••• M••••• S••••••••• L•• wirehouse
Oct 14, 2022 to Apr 13, 2024 · Tempe, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 27, 2021 to Aug 23, 2022 · Chandler, Az

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••
left Mar 11, 2026, registered Mar 24, 2026 (13 days) · Affiliated broker-dealer or bank to wirehouse
J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Apr 13, 2024, registered Apr 8, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Aug 23, 2022, registered Oct 14, 2022 (52 days) · Wirehouse to wirehouse

Signals

S•••••• A•••• S••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M••••• S•••••• (registered 2026-03-24)
Mar 11, 2026 · Advisor changed firm · fact
S•••••• A•••• S••••• left J••• M••••• S••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-04-08)
Apr 13, 2024 · Advisor changed firm · fact
S•••••• A•••• S••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2022-10-14)
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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address