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
Neil John Moscicki
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
1 y
since Jan 23, 2025
In the industry
26 y
since Apr 11, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 23, 2025 · Bloomingdale, Il
- Wintrust Investments formerJul 31, 2015 to Jan 23, 2025 · Chicago, Il
- Bmo Harris Financial Advisors, Inc formerDec 14, 2005 to Aug 5, 2015 · Roselle, Il
- E*Trade Capital Management, LLC formerJul 22, 2002 to Dec 31, 2005 · Roselle, Il
- Morgan Stanley Dw Inc. unclassifiedFeb 27, 2001 to Jun 28, 2002 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Wintrust Investments to LPL Financial LLCleft Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
- Bmo Harris Financial Advisors, Inc to Wintrust Investmentsleft Aug 5, 2015, registered Jul 31, 2015 (-5 days) · Other
- E*Trade Capital Management, LLC to Bmo Harris Financial Advisors, Incleft Dec 31, 2005, registered Dec 14, 2005 (-17 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to E*Trade Capital Management, LLCleft Jun 28, 2002, registered Jul 22, 2002 (24 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address