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
Albert William Bergmann
Feed of 09/15/2026
Also filed as Albert William Bergmann
At current firm
9 y
since Sep 20, 2016
In the industry
29 y
since Oct 11, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Osaic Institutions, Inc. BD affiliated currentsince Sep 20, 2016 · Bayside, Ny
- M&T Securities, Inc. unclassifiedMar 3, 2016 to Jul 27, 2016 · New York, Ny
- Essex National Securities, Inc. formerJan 24, 2012 to Feb 26, 2016 · New York, Ny
- Investors Capital Advisory formerFeb 2, 2010 to Jan 6, 2012 · Lynnfield, Ma
- Chase Investment Services Corp. formerDec 16, 2008 to Feb 5, 2010 · Queens, Ny
- Hsbc Securities (USA) Inc. BD affiliatedDec 5, 2007 to Nov 17, 2008 · Bronx, Ny
Moves
a registration end followed by a registration begin elsewhere
- M&T Securities, Inc. to Osaic Institutions, Inc.left Jul 27, 2016, registered Sep 20, 2016 (55 days) · Other
- Essex National Securities, Inc. to M&T Securities, Inc.left Feb 26, 2016, registered Mar 3, 2016 (6 days) · Other
- Investors Capital Advisory to Essex National Securities, Inc.left Jan 6, 2012, registered Jan 24, 2012 (18 days) · Other
- Chase Investment Services Corp. to Investors Capital Advisoryleft Feb 5, 2010, registered Feb 2, 2010 (-3 days) · Other
- Hsbc Securities (USA) Inc. to Chase Investment Services Corp.left Nov 17, 2008, registered Dec 16, 2008 (29 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address