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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

ADAM SCHWARTZ

Advisor at STRATEGIC ADVISERS LLC

NEW YORK, NY

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Search this name across graphsid dfx:ria:d40dd054-453e-50d8-9194-6116e954de44

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 4, 2013 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: Feb 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Feb 2, 2013
First registration: Feb 4, 2013
Dual registered: yes, broker-dealer
Other names: ADAM J SCHWARTZ|Adam Schwartz|ADAM JARETT SCHWARTZ
IAPD individual key: 6136264

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	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 29, 2020	Mar 31, 2025	no	NEW YORK, NY	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Mar 5, 2019	Jul 1, 2020	no	New York, NY\|ARLINGTON, VA	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Jun 15, 2017	Feb 26, 2019	no	NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 1, 2013	Apr 7, 2017	no	LYNBROOK, NY\|GARDEN CITY, NY\|SUNNYSIDE, NY	Previous registration
MORGAN STANLEY	Wirehouse	Feb 4, 2013	Mar 12, 2013	no	Garden City, 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
E*TRADE CAPITAL MANAGEMENT, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 1, 2020	Jul 29, 2020	28	Firm change	RIA to ibd
EQUITABLE ADVISORS, LLC	E*TRADE CAPITAL MANAGEMENT, LLC	Feb 26, 2019	Mar 5, 2019	7	Firm change	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	EQUITABLE ADVISORS, LLC	Apr 7, 2017	Jun 15, 2017	69	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 12, 2013	Mar 1, 2013	-11	Firm change	Wirehouse to wirehouse

Relationships

Registered with (6)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 29, 2020 to Mar 31, 2025factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 5, 2019 to Jul 1, 2020factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 15, 2017 to Feb 26, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 1, 2013 to Apr 7, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Feb 4, 2013 to Mar 12, 2013factForm ADV

Dated events

No dated event names this entity yet.