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

Mark Matthew Martiak

Charles Schwab & Co., Inc.national BDNew York City, Nydual registrantIAPD 4607789

Feed of 09/14/2026

Also filed as Mark Martiak

At current firm

0 y

since Feb 14, 2026

In the industry

23 y

since Jun 11, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Feb 14, 2026 · New York City, Ny
LPL Enterprise, LLC BD affiliated
Nov 14, 2024 to Feb 13, 2026 · New York, Ny
Pruco Securities, LLC no RAUM
Dec 5, 2023 to Nov 14, 2024 · New York, Ny
A.G.P / Alliance Global Partners independent RIA
Aug 8, 2019 to Dec 4, 2023 · New York, Ny
Premier Wealth Advisors, LLC independent RIA
May 18, 2015 to Aug 16, 2019 · New York, Ny
First Allied Advisory Services, Inc. former
Jan 14, 2013 to Aug 12, 2019 · New York, Ny
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 18, 2003 to Jul 8, 2003 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

LPL Enterprise, LLC to Charles Schwab & Co., Inc.
left Feb 13, 2026, registered Feb 14, 2026 (1 days) · Affiliated broker-dealer or bank to another
Pruco Securities, LLC to LPL Enterprise, LLC
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
A.G.P / Alliance Global Partners to Pruco Securities, LLC
left Dec 4, 2023, registered Dec 5, 2023 (1 days) · RIA to affiliated broker-dealer or bank
Premier Wealth Advisors, LLC to A.G.P / Alliance Global Partners
left Aug 16, 2019, registered Aug 8, 2019 (-8 days) · RIA to affiliated broker-dealer or bank
First Allied Advisory Services, Inc. to Premier Wealth Advisors, LLC
left Aug 12, 2019, registered May 18, 2015 (-1547 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to First Allied Advisory Services, Inc.
left Jul 8, 2003, registered Jan 14, 2013 (3478 days) · Other

Signals

Mark Matthew Martiak left Lpl Enterprise, Llc for Charles Schwab & Co., Inc. (registered 2026-02-14)
Feb 13, 2026 · Advisor changed firm · fact
Mark Matthew Martiak left A.G.P / Alliance Global Partners for Pruco Securities, Llc (registered 2023-12-05)
Dec 4, 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: National broker-dealer RIAderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address