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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

NEVILLE KAPOOR

Advisor at STRATEGIC ADVISERS LLC

SCARSDALE, NY

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Search this name across graphsid dfx:ria:cc5bd115-ba0a-c256-ba59-2e44b055ac03

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Nov 28, 2014 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: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 29, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 29, 2010
First registration: Nov 28, 2014
Dual registered: yes, broker-dealer
Other names: Neville Kapoor|NEVILLE R KAPOOR
IAPD individual key: 5739720

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	SCARSDALE, NY\|SCARSDALE, NY	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jan 23, 2025	Mar 31, 2025	no	SCARSDALE, NY	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	May 22, 2024	Dec 15, 2024	no	Mt Kisco, NY	Previous registration
MORGAN STANLEY	Wirehouse	Sep 5, 2023	Apr 8, 2024	no	Purchase, NY\|Jersey City, NJ	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jun 15, 2018	Sep 5, 2023	no	Scarsdale, NY\|ARLINGTON, VA\|Purchase, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 28, 2014	Jun 7, 2018	no	WHITE PLAINS, NY\|MOUNT KISCO, NY\|NEW YORK, NY\|TARRYTOWN, NY\|YORKTOWN HEIGHTS, NY\|YORKTOWN HEIGHTS, NY\|CHAPPAQUA, NY\|CHAPPAQUA, NY\|CHAPPAQUA, NY\|YORKTOWN HEIGHTS, NY\|GOLDENS BRIDGE, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
CHARLES SCHWAB & CO., INC.	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Dec 15, 2024	Jan 23, 2025	39	Firm change	Ibd to ibd
MORGAN STANLEY	CHARLES SCHWAB & CO., INC.	Apr 8, 2024	May 22, 2024	44	Firm change	Wirehouse to ibd
E*TRADE CAPITAL MANAGEMENT, LLC	MORGAN STANLEY	Sep 5, 2023	Sep 5, 2023	0	Bulk transfer	RIA to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	E*TRADE CAPITAL MANAGEMENT, LLC	Jun 7, 2018	Jun 15, 2018	8	Firm change	Wirehouse to RIA

Relationships

Registered with (6)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jan 23, 2025 to Mar 31, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
May 22, 2024 to Dec 15, 2024factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 5, 2023 to Apr 8, 2024factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 15, 2018 to Sep 5, 2023factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 28, 2014 to Jun 7, 2018factForm ADV

Dated events

Occurred
Dec 15, 2024
Advisor changed firm
Neville Kapoor left Charles Schwab & Co., Inc. for Fidelity Personal And Workplace Advisors (registered 2025-01-23)
Form ADVobserved 5 days ago
Occurred
Apr 8, 2024
Advisor changed firm
Neville Kapoor left Morgan Stanley for Charles Schwab & Co., Inc. (registered 2024-05-22)
Form ADVobserved 5 days ago