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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

DAVID G CAPELLE

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

HINGHAM, MA

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Search this name across graphsid dfx:ria:a9a9de90-c5e8-58cc-d6ff-7f46c0258a70

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 6, 2004 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: Feb 9, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Feb 9, 2001
First registration: Apr 6, 2004
Dual registered: yes, broker-dealer
Other names: DAVID GUY CAPELLE
IAPD individual key: 4302412

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	Jan 26, 2012	n/a	yes	HINGHAM, MA	Current employment
MFS INSTITUTIONAL ADVISORS INC.	Other adviser	Jul 3, 2006	Jun 29, 2011	no	BOSTON, MA	Previous registration
BOFA ADVISORS, LLC	Former SEC adviser	Mar 31, 2005	Jun 20, 2006	no	BOSTON, MA	Previous registration
COLUMBIA MANAGEMENT ADVISORS, INC.	n/a	Apr 6, 2004	Mar 30, 2005	no	BOSTON, MA	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
MFS INSTITUTIONAL ADVISORS INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 29, 2011	Jan 26, 2012	211	Firm change	Other
BOFA ADVISORS, LLC	MFS INSTITUTIONAL ADVISORS INC.	Jun 20, 2006	Jul 3, 2006	13	Firm change	Other
COLUMBIA MANAGEMENT ADVISORS, INC.	BOFA ADVISORS, LLC	Mar 30, 2005	Mar 31, 2005	1	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Jan 26, 2012 to presentfactForm ADV
→ MFS INSTITUTIONAL ADVISORS INC.Registered adviserregistration: previous registration
Jul 3, 2006 to Jun 29, 2011factForm ADV
→ BOFA ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 31, 2005 to Jun 20, 2006factForm ADV
→ COLUMBIA MANAGEMENT ADVISORS, INC.Registered adviserregistration: previous registration
Apr 6, 2004 to Mar 30, 2005factForm ADV

Dated events

No dated event names this entity yet.