Steven M. Dauphin

BONAVENTURE CAPITAL

Birmingham, AL 35209

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CRD#: 2784306

Professional summary

Steven Mccall Dauphin, who also goes by Steve Dauphin, is a registered financial advisor currently at BONAVENTURE CAPITAL, LLC located in Birmingham, Alabama.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Steven has worked at 2 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Dauphin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FIDELIS CAPITAL, LLC 820 SHADES CREEK PKWY., STE. 1200 BIRMINGHAM, AL 35209 I AM A MEMBER OF FIDELIS CAPITAL, LLC ("FIDELIS"), WHICH WAS FORMED IN MAY 2001 FOR THE SOLE PURPOSE OF MAKING ONE PRIVATE EQUITY INVESTMENT. IN OCTOBER 2006, FIDELIS REGISTERED WITH THE SEC AS AN INVESTMENT ADVISER. I DEVOTE APPROXIMATELY 20 HOURS PER MONTH TO FIDELIS, 10 TO 15 OF WHICH ARE DURING SECURITIES TRADING HOURS, PROVIDING INVESTMENT CONSULTING SERVICES TO ITS CLIENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mccall Dauphin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 1, 2006 - Present

BONAVENTURE CAPITAL, LLC

Office #1: 820 Shades Creek Pkwy., Ste. 1200, Birmingham, AL 35209

RIA

CRD#: 120780

Birmingham, AL

Past

October 6, 1997 - March 6, 1998

HMC INVESTMENTS, LLC

CRD#: 40581

BIRMINGHAM, AL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BONAVENTURE CAPITAL, LLC

CRD#: 120780 / SEC#: 801-64141

RIA

Registered Investment Advisory firm - (4/12/2005 Approved)

Alabama

Registered Investment Advisory firm - (12/17/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(1/1/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/23/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/3/1997

General Securities Representative Examination

Current Firm

BONAVENTURE CAPITAL, LLC

CRD#: 120780 / SEC#: 801-64141

RIA

Registered Investment Advisory firm - (4/12/2005 Approved)

Alabama

Registered Investment Advisory firm - (12/17/2007 Terminated)

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Contact information

Main Address

820 Shades Creek Pkwy., Ste. 1200, Birmingham, AL 35209

Mailing Address

Phone number

(205) 775-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BONAVENTURE CAPITAL, LLC (3/28/2025)

Regulatory assets under management

Total Number of Accounts	32
AUM (Assets Under Management)	$ 437,744,471

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Steven M. Dauphin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Mccall Dauphin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BONAVENTURE CAPITAL, LLC

HMC INVESTMENTS, LLC

Primary Firm SEC Registration

BONAVENTURE CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2005

Series 63

Date: 8/23/1996

Series 7

Date: 10/3/1997

Current Firm

BONAVENTURE CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BONAVENTURE CAPITAL, LLC

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