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.

Advisor moves

Arrivals at Steele Capital Management, Inc.

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

AdvisorFromToTypeLeftRegistered
Kerry Richard WhalenWhalen Capital, Inc. independent RIASteele Capital Management, Inc. otherOtherJun 1, 2026Mar 3, 2004
William Joseph StreffStreff Wealth Management unclassifiedSteele Capital Management, Inc. independent RIAOtherJan 2, 2026Jan 26, 2026
Justin SchultzAmeriprise Financial Services, LLC national BDSteele Capital Management, Inc. independent RIAAffiliated broker-dealer or bank to independent RIADec 8, 2025Dec 10, 2025
Thomas Austin HannonCapital Formation Strategies Inc independent RIASteele Capital Management, Inc. otherOtherDec 31, 2020Aug 25, 2016
Kevin Michael DietzelGlobal Portfolio Strategies, Inc. otherSteele Capital Management, Inc. otherOtherMar 21, 2017Mar 20, 2017
Guy R WaymanTd Ameritrade Investment Management, LLC otherSteele Capital Management, Inc. otherOtherJan 20, 2016Jan 21, 2016
Peter James AlofsinNfp Advisor Services, LLC otherSteele Capital Management, Inc. otherOtherApr 24, 2012May 9, 2003
Lee Alan DuckworthNfp Advisor Services, LLC otherSteele Capital Management, Inc. otherOtherMar 30, 2012May 14, 2003
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8 moves match.