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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

Henry E Kaplan

Advisor at B. RILEY WEALTH ADVISORS, INC.

New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e338e507-8142-3cb7-ffbe-89893fd01f68

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Aug 18, 2010 to Sep 14, 2026

Across DFX

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

Private Equityidentity

Henry Edward Kaplan

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: B. RILEY WEALTH ADVISORS, INC.
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: Jul 16, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66|S63|S65
First exam: Jul 16, 1987
First registration: Aug 18, 2010
Dual registered: yes, broker-dealer
Other names: HENRY EDWARD KAPLAN
IAPD individual key: 1400714

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
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 24, 2018	n/a	yes	New York, NY	Current employment
MORGAN STANLEY INVESTMENT MANAGEMENT INC.	Asset manager	Jan 24, 2014	Jun 29, 2017	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Aug 18, 2010	Oct 24, 2013	no	PURCHASE, NY\|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
MORGAN STANLEY INVESTMENT MANAGEMENT INC.	B. RILEY WEALTH ADVISORS, INC.	Jun 29, 2017	Jul 24, 2018	390	Firm change	Other
MORGAN STANLEY	MORGAN STANLEY INVESTMENT MANAGEMENT INC.	Oct 24, 2013	Jan 24, 2014	92	Channel change	Other

Relationships

Registered with (3)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: current employment
Jul 24, 2018 to presentfactForm ADV
→ MORGAN STANLEY INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
Jan 24, 2014 to Jun 29, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 18, 2010 to Oct 24, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e338e507-8142-3cb7-ffbe-89893fd01f68
First observed: Aug 18, 2010
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Henry E Kaplan

Advisor at B. RILEY WEALTH ADVISORS, INC.

New York, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e338e507-8142-3cb7-ffbe-89893fd01f68

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

B. RILEY WEALTH ADVISORS, INC.

Bd affiliated wealth

Jul 24, 2018

n/a

yes

New York, NY

Current employment

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

Asset manager

Jan 24, 2014

Jun 29, 2017

NEW YORK, NY

Previous registration

MORGAN STANLEY

Wirehouse

Aug 18, 2010

Oct 24, 2013

PURCHASE, NY|New York, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

B. RILEY WEALTH ADVISORS, INC.

Jun 29, 2017

Jul 24, 2018

390

Firm change

Other

MORGAN STANLEY

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

Oct 24, 2013

Jan 24, 2014

Channel change

Other