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

Steven J Mattern

Cetera Investment Advisers LLCBD affiliatedLakewood, Ohdual registrantIAPD 7238443

Feed of 09/14/2026

Also filed as Steven Joseph Mattern

At current firm

0 y

since Aug 11, 2026

In the industry

12 y

since Aug 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cetera Investment Advisers LLC BD affiliated current
since Aug 11, 2026 · Lakewood, Oh
Amfg Wealth Management LLC state registered
Nov 19, 2024 to Apr 21, 2026 · Westlake, Oh
Esi Financial Advisors independent RIA
Mar 7, 2023 to Nov 15, 2024 · Erie, Pa
Pruco Securities, LLC no RAUM
Nov 10, 2020 to Mar 9, 2023 · Erie, Pa
Edward Jones national BD
Jun 22, 2020 to Aug 24, 2020 · Erie, Pa

Moves

a registration end followed by a registration begin elsewhere

Amfg Wealth Management LLC to Cetera Investment Advisers LLC
left Apr 21, 2026, registered Aug 11, 2026 (112 days) · Other
Esi Financial Advisors to Amfg Wealth Management LLC
left Nov 15, 2024, registered Nov 19, 2024 (4 days) · RIA to a state-registered adviser
Pruco Securities, LLC to Esi Financial Advisors
left Mar 9, 2023, registered Mar 7, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
Edward Jones to Pruco Securities, LLC
left Aug 24, 2020, registered Nov 10, 2020 (78 days) · Affiliated broker-dealer or bank to another

Signals

Steven J Mattern left Amfg Wealth Management Llc for Cetera Investment Advisers Llc (registered 2026-08-11)
Apr 21, 2026 · Advisor changed firm · fact
Steven J Mattern left Esi Financial Advisors for Amfg Wealth Management Llc (registered 2024-11-19)
Nov 15, 2024 · Advisor changed firm · fact
Steven J Mattern left Pruco Securities, Llc for Esi Financial Advisors (registered 2023-03-07)
Mar 9, 2023 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address