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

Elaine Thompson-Perez

Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseNew York, Nydual registrantIAPD 1870716

Feed of 09/14/2026

Also filed as Elaine Ruth Thompson

At current firm

1 y

since Mar 7, 2025

In the industry

18 y

since Nov 19, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Mar 7, 2025 · New York, Ny
Voya Retirement Advisors, LLC other
Jan 3, 2025 to Feb 19, 2025 · Windsor, Ct
MML Investors Services, LLC BD affiliated
Feb 13, 2024 to Dec 9, 2024 · New York, Ny
Morgan Stanley wirehouse
May 26, 2022 to Apr 21, 2023 · New York, Ny
Morgan Stanley wirehouse
Mar 10, 2020 to Feb 7, 2022 · Purchase, Ny
Morgan Stanley wirehouse
Jan 26, 2018 to Sep 30, 2019 · New York, Ny
Principal Securities, Inc. BD affiliated
Sep 20, 2016 to Jan 29, 2018 · San Jose, Ca
Equitable Advisors, LLC national BD
Nov 23, 2015 to Jun 1, 2016 · Walnut Creek, Ca
Transamerica Financial Advisors, LLC BD affiliated
Mar 18, 2015 to Oct 30, 2015 · Modesto, Ca
Ameritas Advisory Services former
Oct 4, 2013 to Feb 27, 2015 · Lincoln, Ne
Liberty Wealth Management, LLC former
Mar 30, 2011 to Oct 12, 2011 · Pleasanton, Ca
Msi Financial Services, Inc. former
Mar 1, 2010 to Mar 10, 2011 · Walnut Creek, Ca
MML Investors Services, LLC BD affiliated
Jun 16, 2008 to Jul 14, 2008 · Pleasanton, Ca

Moves

a registration end followed by a registration begin elsewhere

Voya Retirement Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Feb 19, 2025, registered Mar 7, 2025 (16 days) · Other
MML Investors Services, LLC to Voya Retirement Advisors, LLC
left Dec 9, 2024, registered Jan 3, 2025 (25 days) · Other
Morgan Stanley to MML Investors Services, LLC
left Apr 21, 2023, registered Feb 13, 2024 (298 days) · Wirehouse to affiliated broker-dealer or bank
Principal Securities, Inc. to Morgan Stanley
left Jan 29, 2018, registered Jan 26, 2018 (-3 days) · Other
Equitable Advisors, LLC to Principal Securities, Inc.
left Jun 1, 2016, registered Sep 20, 2016 (111 days) · Other
Transamerica Financial Advisors, LLC to Equitable Advisors, LLC
left Oct 30, 2015, registered Nov 23, 2015 (24 days) · Other
Ameritas Advisory Services to Transamerica Financial Advisors, LLC
left Feb 27, 2015, registered Mar 18, 2015 (19 days) · Other
Liberty Wealth Management, LLC to Ameritas Advisory Services
left Oct 12, 2011, registered Oct 4, 2013 (723 days) · Other
Msi Financial Services, Inc. to Liberty Wealth Management, LLC
left Mar 10, 2011, registered Mar 30, 2011 (20 days) · Other
MML Investors Services, LLC to Msi Financial Services, Inc.
left Jul 14, 2008, registered Mar 1, 2010 (595 days) · Other

Signals

Elaine Thompson-Perez left Voya Retirement Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-03-07)
Feb 19, 2025 · Advisor changed firm · fact
Elaine Thompson-Perez left Mml Investors Services, Llc for Voya Retirement Advisors, Llc (registered 2025-01-03)
Dec 9, 2024 · Advisor changed firm · fact
Elaine Thompson-Perez left Morgan Stanley for Mml Investors Services, Llc (registered 2024-02-13)
Apr 21, 2023 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address