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
Leah M. Bartley
Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseManchester, Nh dual registrantIAPD 4673893
Feed of 09/14/2026
Also filed as Leah M. Bartley
At current firm
3 y
since Mar 7, 2023
In the industry
23 y
since Jul 25, 2003 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Mar 7, 2023 · Portland, Me
- Morgan Stanley wirehouseSep 9, 2019 to Oct 19, 2022 · Bangor, Me
- Valic Financial Advisors, Inc. BD affiliatedNov 12, 2014 to Sep 19, 2019 · Burlington, Ma
- Cetera Investment Services LLC formerJun 21, 2012 to Nov 29, 2012 · South Portland, Me
- Morgan Stanley wirehouseJun 1, 2009 to Jul 16, 2010 · Portland, Me
- Citigroup Global Markets Inc. BD affiliatedMar 26, 2009 to Jun 1, 2009 · Portland, Me
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 11, 2007 to Feb 11, 2009 · Portland, Me
- A. G. Edwards & Sons, Inc. unclassifiedJan 22, 2007 to Aug 29, 2007 · Auburn, Me
- Pruco Securities, LLC no RAUMJan 12, 2004 to Jan 24, 2007 · South Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 19, 2022, registered Mar 7, 2023 (139 days) · Wirehouse to wirehouse
- Valic Financial Advisors, Inc. to Morgan Stanleyleft Sep 19, 2019, registered Sep 9, 2019 (-10 days) · Affiliated broker-dealer or bank to wirehouse
- Cetera Investment Services LLC to Valic Financial Advisors, Inc.left Nov 29, 2012, registered Nov 12, 2014 (713 days) · Other
- Morgan Stanley to Cetera Investment Services LLCleft Jul 16, 2010, registered Jun 21, 2012 (706 days) · Other
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Citigroup Global Markets Inc.left Feb 11, 2009, registered Mar 26, 2009 (43 days) · Other
- A. G. Edwards & Sons, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 29, 2007, registered Sep 11, 2007 (13 days) · Other
- Pruco Securities, LLC to A. G. Edwards & Sons, Inc.left Jan 24, 2007, registered Jan 22, 2007 (-2 days) · Other
Signals
- Leah M. Bartley left Morgan Stanley for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-03-07)Oct 19, 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address