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

Benjamin Lewis Swain

Charles Schwab & Co., Inc.national BDWest Hartford, Ctdual registrantIAPD 3244681

Feed of 09/14/2026

Also filed as Benjamin Swain

At current firm

3 y

since Apr 20, 2023

In the industry

25 y

since Jul 13, 2001 (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

Charles Schwab & Co., Inc. national BD current
since Apr 20, 2023 · West Hartford, Ct
Empower Advisory Group, LLC BD affiliated
Jan 20, 2022 to Mar 28, 2023 · Madison, Ct
Equitable Advisors, LLC national BD
Feb 1, 2021 to Jan 11, 2022 · Shelton, Ct
Td Ameritrade Investment Management, LLC former
Jan 8, 2015 to Dec 31, 2020 · West Hartford, Ct
Td Ameritrade, Inc. former
Jan 8, 2015 to Jan 11, 2021 · West Hartford, Ct
Equitable Advisors, LLC national BD
Nov 29, 2011 to Jan 7, 2015 · Shelton, Ct
Global Portfolio Strategies, Inc. former
Jan 12, 2009 to Jul 26, 2011 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

Empower Advisory Group, LLC to Charles Schwab & Co., Inc.
left Mar 28, 2023, registered Apr 20, 2023 (23 days) · Affiliated broker-dealer or bank to another
Equitable Advisors, LLC to Empower Advisory Group, LLC
left Jan 11, 2022, registered Jan 20, 2022 (9 days) · Other
Td Ameritrade, Inc. to Equitable Advisors, LLC
left Jan 11, 2021, registered Feb 1, 2021 (21 days) · Other
Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.
left Dec 31, 2020, registered Jan 8, 2015 (-2184 days) · corporate re-registration, not a move
Equitable Advisors, LLC to Td Ameritrade Investment Management, LLC
left Jan 7, 2015, registered Jan 8, 2015 (1 days) · Other
Global Portfolio Strategies, Inc. to Equitable Advisors, LLC
left Jul 26, 2011, registered Nov 29, 2011 (126 days) · Other

Signals

Benjamin Lewis Swain left Empower Advisory Group, Llc for Charles Schwab & Co., Inc. (registered 2023-04-20)
Mar 28, 2023 · Advisor changed firm · fact
Benjamin Lewis Swain left Equitable Advisors, Llc for Empower Advisory Group, Llc (registered 2022-01-20)
Jan 11, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address