DFX Intelligence

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

Robert Wade LaPietra

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3da74e3d-8612-dc8b-c676-73cf128ed067

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 18, 2017 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: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 23, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Aug 23, 2011
First registration: Aug 18, 2017
Dual registered: yes, broker-dealer
Other names: ROBERT WADE LAPIETRA|ROBERT WADE|Robert LaPietra
IAPD individual key: 4374155

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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 9, 2017	n/a	yes	NEW YORK, NY	Current employment
AEGIS CAPITAL CORP.	Bd affiliated wealth	Aug 18, 2017	Oct 20, 2017	no	NEW YORK, NY	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
AEGIS CAPITAL CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 20, 2017	Nov 9, 2017	20	Firm change	Other

Relationships

Registered with (2)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Nov 9, 2017 to presentfactForm ADV
→ AEGIS CAPITAL CORP.Registered adviserregistration: previous registration
Aug 18, 2017 to Oct 20, 2017factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3da74e3d-8612-dc8b-c676-73cf128ed067
First observed: Aug 18, 2017
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Robert Wade LaPietra

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3da74e3d-8612-dc8b-c676-73cf128ed067

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:10 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Nov 9, 2017

n/a

yes

NEW YORK, NY

Current employment

AEGIS CAPITAL CORP.

Bd affiliated wealth

Aug 18, 2017

Oct 20, 2017

NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

AEGIS CAPITAL CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Oct 20, 2017

Nov 9, 2017

Firm change

Other