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
Caroline E Salvator
Feed of 09/14/2026
Also filed as Caroline Elisabeth Moos
At current firm
0 y
since Jul 15, 2026
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Charles Schwab & Co., Inc. national BD currentsince Jul 15, 2026 · Vero Beach, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 4, 2024 to Jun 4, 2026 · Vero Beach, Fl
- Fidelity Personal And Workplace Advisors formerJan 13, 2024 to Sep 5, 2024 · Smithfield, Ri
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Charles Schwab & Co., Inc.left Jun 4, 2026, registered Jul 15, 2026 (41 days) · Wirehouse to affiliated broker-dealer or bank
- Fidelity Personal And Workplace Advisors to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Sep 5, 2024, registered Nov 4, 2024 (60 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Caroline E Salvator left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Charles Schwab & Co., Inc. (registered 2026-07-15)Jun 4, 2026 · Advisor changed firm · fact
- Caroline E Salvator left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-11-04)Sep 5, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address