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RIA / WealthAdvisor23 years in industry

Eric John Sobocinski

Advisor at AMPHORA WEALTH MANAGEMENT, LLC

CHAPEL HILL, NC

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 13, 2005 to Sep 14, 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: AMPHORA WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 16, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: May 16, 2003
First registration: May 13, 2005
Dual registered: no
Other names: Eric J Sobocinski
IAPD individual key: 4619747

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
AMPHORA WEALTH MANAGEMENT, LLC	Independent wealth	Jul 7, 2011	n/a	yes	CHAPEL HILL, NC	Current employment
JOSEPH CAPITAL MANAGEMENT, LLC	Former SEC adviser	Feb 4, 2009	Jun 2, 2011	no	HERNANDO, FL\|RALEIGH, NC\|CHAPEL HILL, NC\|DURHAM, NC	Previous registration
FIRST LEGACY SECURITIES, LLC	n/a	Aug 13, 2007	Apr 28, 2008	no	HELENA, AL\|CHAPEL HILL, NC	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	May 15, 2006	Oct 4, 2006	no	RALEIGH, NC\|Raleigh, NC	Previous registration
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY	n/a	May 13, 2005	Oct 4, 2006	no	MILWAUKEE, WI	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
JOSEPH CAPITAL MANAGEMENT, LLC	AMPHORA WEALTH MANAGEMENT, LLC	Jun 2, 2011	Jul 7, 2011	35	Firm change	Other
FIRST LEGACY SECURITIES, LLC	JOSEPH CAPITAL MANAGEMENT, LLC	Apr 28, 2008	Feb 4, 2009	282	Firm change	Other
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Oct 4, 2006	May 15, 2006	-142	Firm change after gap	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	FIRST LEGACY SECURITIES, LLC	Oct 4, 2006	Aug 13, 2007	313	Firm change	Other

Relationships

Registered with (5)

→ AMPHORA WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jul 7, 2011 to presentfactForm ADV
→ JOSEPH CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 4, 2009 to Jun 2, 2011factForm ADV
→ FIRST LEGACY SECURITIES, LLCRegistered adviserregistration: previous registration
Aug 13, 2007 to Apr 28, 2008factForm ADV
→ NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANYRegistered adviserregistration: previous registration
May 13, 2005 to Oct 4, 2006factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
May 15, 2006 to Oct 4, 2006factForm ADV

Dated events

No dated event names this entity yet.