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RIA / WealthAdvisor19 years in industry

BARRY JOSEPH KLARBERG

Advisor at MAI CAPITAL MANAGEMENT, LLC

New York, NY

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Search this name across graphsid dfx:ria:9999fc48-0f35-3a95-60d9-95cf34fc9be9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 25, 2007 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: MAI CAPITAL 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: Mar 8, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Mar 8, 2007
First registration: Apr 25, 2007
Dual registered: no
Other names: BARRY J. KLARBERG
IAPD individual key: 4908962

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
MAI CAPITAL MANAGEMENT, LLC	Independent wealth	Dec 23, 2021	n/a	yes	New York, NY	Current employment
REGAL WEALTH MANAGEMENT, LLC	Former SEC adviser	Feb 26, 2020	Dec 21, 2021	no	NEW YORK, NY	Previous registration
MONARCH ADVISORY, LLC	n/a	Mar 31, 2017	Mar 5, 2020	no	NEW YORK, NY\|Fort Lauderdale, FL	Previous registration
ASSET ALLIANCE ADVISORS INC.	Former SEC adviser	Jan 27, 2011	Dec 4, 2015	no	NEW YORK, NY	Previous registration
GUGGENHEIM INVESTMENT ADVISORS, LLC	Other adviser	Apr 25, 2007	Dec 22, 2008	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
REGAL WEALTH MANAGEMENT, LLC	MAI CAPITAL MANAGEMENT, LLC	Dec 21, 2021	Dec 23, 2021	2	Firm change	RIA to RIA
MONARCH ADVISORY, LLC	REGAL WEALTH MANAGEMENT, LLC	Mar 5, 2020	Feb 26, 2020	-8	Firm change	Other
ASSET ALLIANCE ADVISORS INC.	MONARCH ADVISORY, LLC	Dec 4, 2015	Mar 31, 2017	483	Firm change after gap	Other
GUGGENHEIM INVESTMENT ADVISORS, LLC	ASSET ALLIANCE ADVISORS INC.	Dec 22, 2008	Jan 27, 2011	766	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
305480:109807:NY:2021-12-21	Dec 21, 2021	Dec 23, 2021	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 23, 2021 to presentfactForm ADV
→ REGAL WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 26, 2020 to Dec 21, 2021factForm ADV
→ MONARCH ADVISORY, LLCRegistered adviserregistration: previous registration
Mar 31, 2017 to Mar 5, 2020factForm ADV
→ ASSET ALLIANCE ADVISORS INC.Registered adviserregistration: previous registration
Jan 27, 2011 to Dec 4, 2015factForm ADV
→ GUGGENHEIM INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 25, 2007 to Dec 22, 2008factForm ADV

Dated events

No dated event names this entity yet.