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

Marc Michael Froebel

Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseChicago, Il dual registrantIAPD 1845324

Feed of 09/15/2026

Also filed as Marc Michael Froebel

At current firm

0 y

since Aug 10, 2026

In the industry

34 y

since Dec 16, 1991 (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 10, 2026 · Chicago, Il
Huntington Financial Advisors BD affiliated
Mar 22, 2016 to Jun 26, 2026 · Springfield, Oh
Ameriprise Financial Services, LLC national BD
Dec 15, 2010 to Mar 14, 2016 · Minneapolis, Mn
Pnc Wealth Management BD affiliated
Nov 13, 2009 to Nov 30, 2009 · Columbus, Oh
Natcity Investments, Inc. unclassified
Jul 18, 2005 to Nov 13, 2009 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

Huntington Financial Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jun 26, 2026, registered Aug 10, 2026 (45 days) · Affiliated broker-dealer or bank to wirehouse
Ameriprise Financial Services, LLC to Huntington Financial Advisors
left Mar 14, 2016, registered Mar 22, 2016 (8 days) · Other
Pnc Wealth Management to Ameriprise Financial Services, LLC
left Nov 30, 2009, registered Dec 15, 2010 (380 days) · Other
Natcity Investments, Inc. to Pnc Wealth Management
left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move

Signals

Marc Michael Froebel left Huntington Financial Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-10)
Jun 26, 2026 · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address