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RIA / WealthAdvisor33 years in industry

Benjamin Posen

Advisor at HIGHTOWER ADVISORS, LLC

CALABASAS, CA | CHICAGO, IL

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Search this name across graphsid dfx:ria:b89078ee-e2b9-ffd4-7a3c-2bf5648b72a4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 2
Observed: Dec 15, 1997 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Benjamin Alan Posen

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Venture Capitalidentity

Benjamin Alan Posen

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: HIGHTOWER ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 24, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Mar 24, 1993
First registration: Dec 15, 1997
Dual registered: no
Other names: BENJAMIN ALEN POSEN|BENJAMIN ALAN POSEN
IAPD individual key: 2319219

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
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Jul 2, 2025	n/a	yes	CHICAGO, IL\|CALABASAS, CA	Current employment
LINDBROOK CAPITAL, LLC	Former SEC adviser	May 13, 2011	Sep 4, 2025	no	LOS ANGELES, CA\|CALABASAS, CA\|LOS ANGELES, CA	Previous registration
OPPENHEIMER ASSET MANAGEMENT	Bd affiliated wealth	Apr 15, 2003	Nov 12, 2007	no	NEW YORK, NY	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Jan 3, 2003	May 19, 2011	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
CIBC WORLD MARKETS CORP.	n/a	Dec 15, 1997	Jan 3, 2003	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
LINDBROOK CAPITAL, LLC	HIGHTOWER ADVISORS, LLC	Sep 4, 2025	Jul 2, 2025	-64	Firm change after gap	RIA to ibd
OPPENHEIMER & CO. INC.	OPPENHEIMER ASSET MANAGEMENT	May 19, 2011	Apr 15, 2003	-2,956	Firm change after gap	Other
OPPENHEIMER ASSET MANAGEMENT	LINDBROOK CAPITAL, LLC	Nov 12, 2007	May 13, 2011	1,278	Firm change after gap	Other
CIBC WORLD MARKETS CORP.	OPPENHEIMER & CO. INC.	Jan 3, 2003	Jan 3, 2003	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
155812:145323:CA:2025-09-04	Sep 4, 2025	Jul 2, 2025	LOS ANGELES, CA	Firm change after gap

Relationships

Registered with (5)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Jul 2, 2025 to presentfactForm ADV
→ LINDBROOK CAPITAL, LLCRegistered adviserregistration: previous registration
May 13, 2011 to Sep 4, 2025factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Jan 3, 2003 to May 19, 2011factForm ADV
→ OPPENHEIMER ASSET MANAGEMENTRegistered adviserregistration: previous registration
Apr 15, 2003 to Nov 12, 2007factForm ADV
→ CIBC WORLD MARKETS CORP.Registered adviserregistration: previous registration
Dec 15, 1997 to Jan 3, 2003factForm ADV

Dated events

Occurred
Sep 4, 2025
Advisor changed firm
Benjamin Posen left Lindbrook Capital, Llc for Hightower Advisors, Llc (registered 2025-07-02)
Form ADVobserved 3 days ago