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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

BRIAN RILEY

Advisor at BNY MELLON SECURITIES CORPORATION

New York, NY | TIBURON, CA | NEW YORK, NY | San Francisco, CA

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Search this name across graphsid dfx:ria:0709f974-9d36-c13b-bafc-0f29fd36f3fd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 2, 1996 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BNY MELLON SECURITIES CORPORATION
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 26, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jul 26, 1996
First registration: Oct 2, 1996
Dual registered: yes, broker-dealer
Other names: BRIAN D RILEY|BRIAN DAVID RILEY
IAPD individual key: 2749915

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BNY MELLON SECURITIES CORPORATION	Other adviser	Feb 19, 2026	n/a	yes	TIBURON, CA\|New York, NY\|NEW YORK, NY\|San Francisco, CA	Current employment
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Aug 7, 2024	Jan 28, 2026	no	San Francisco, CA	Previous registration
ROCKEFELLER CAPITAL MANAGEMENT	Bd affiliated wealth	Apr 1, 2020	Jan 28, 2026	no	San Francisco, CA\|Los Angeles, CA\|Newport Beach, CA\|TIBURON, CA	Previous registration
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Former SEC adviser	Jul 15, 2015	Jun 26, 2019	no	SAN FRANCISCO, CA\|San Francisco, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 2, 1996	Jul 7, 2015	no	WESTLAKE VILLAGE, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|SAN FRANCISCO, CA\|CARMEL, CA\|SAN FRANCISCO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ROCKEFELLER CAPITAL MANAGEMENT	ROCKEFELLER CAPITAL MANAGEMENT	Jan 28, 2026	Aug 7, 2024	-539	Channel change	Ibd to ibd
ROCKEFELLER CAPITAL MANAGEMENT	BNY MELLON SECURITIES CORPORATION	Jan 28, 2026	Feb 19, 2026	22	Firm change	Other
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	ROCKEFELLER CAPITAL MANAGEMENT	Jun 26, 2019	Apr 1, 2020	280	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN PRIVATE WEALTH ADVISORS LLC	Jul 7, 2015	Jul 15, 2015	8	Firm change	Other

Relationships

Registered with (5)

→ BNY MELLON SECURITIES CORPORATIONRegistered adviserregistration: current employment
Feb 19, 2026 to presentfactForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Apr 1, 2020 to Jan 28, 2026factForm ADV
→ ROCKEFELLER CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Aug 7, 2024 to Jan 28, 2026factForm ADV
→ J.P. MORGAN PRIVATE WEALTH ADVISORS LLCRegistered adviserregistration: previous registration
Jul 15, 2015 to Jun 26, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 2, 1996 to Jul 7, 2015factForm ADV

Dated events

Occurred
Jan 28, 2026
Advisor changed firm
Brian Riley left Rockefeller Capital Management for Bny Mellon Securities Corporation (registered 2026-02-19)
Form ADVobserved 5 days ago