DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Cynthia J Morris

Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseMill Valley, Ca IA-onlyIAPD 1143459

Feed of 09/14/2026

Also filed as Cynthia Jean Morris

At current firm

0 y

since Aug 4, 2026

In the industry

29 y

since Jul 8, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse current
since Aug 4, 2026 · Mill Valley, Ca
Litman Gregory Wealth Management, LLC former
Dec 17, 2021 to Oct 3, 2025 · Paris
Sensiba San Filippo Financial Advisers LLC former
Jan 21, 2019 to Jan 6, 2022 · San Mateo, Ca
Rand & Associates former
Jun 18, 2015 to Aug 14, 2018 · Baltimore, Md
Westhill Financial Advisors, Inc. independent RIA
Jan 2, 2013 to Dec 3, 2013 · San Rafael, Ca
RBC Securities, Inc. BD affiliated
Aug 26, 2010 to Mar 15, 2012 · San Jose, Ca
Marin Financial Advisors LLC former
Dec 25, 2008 to Jan 22, 2009 · Larkspur, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 8, 1997 to Jun 7, 2002 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

Litman Gregory Wealth Management, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 3, 2025, registered Aug 4, 2026 (305 days) · RIA to wirehouse
Sensiba San Filippo Financial Advisers LLC to Litman Gregory Wealth Management, LLC
left Jan 6, 2022, registered Dec 17, 2021 (-20 days) · Other
Rand & Associates to Sensiba San Filippo Financial Advisers LLC
left Aug 14, 2018, registered Jan 21, 2019 (160 days) · Other
Westhill Financial Advisors, Inc. to Rand & Associates
left Dec 3, 2013, registered Jun 18, 2015 (562 days) · Other
RBC Securities, Inc. to Westhill Financial Advisors, Inc.
left Mar 15, 2012, registered Jan 2, 2013 (293 days) · Other
Marin Financial Advisors LLC to RBC Securities, Inc.
left Jan 22, 2009, registered Aug 26, 2010 (581 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Marin Financial Advisors LLC
left Jun 7, 2002, registered Dec 25, 2008 (2393 days) · Other

Signals

Cynthia J Morris left Litman Gregory Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-04)
Oct 3, 2025 · Advisor changed firm · fact
Cynthia J Morris left Sensiba San Filippo Financial Advisers Llc for Litman Gregory Wealth Management, Llc (registered 2021-12-17)
Jan 6, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address