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
William Esteban Romero
Spartan Capital Private Wealth Management LLCstate registeredNew York, Nydual registrantIAPD 5127697
Feed of 09/14/2026
Also filed as William Esteban Romero
At current firm
0 y
since Mar 9, 2026
In the industry
20 y
since Aug 15, 2006 (earliest exam, job or registration)
Prior registered firms
6
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
- Spartan Capital Private Wealth Management LLC state registered currentsince Mar 9, 2026 · New York, Ny
- MML Investors Services, LLC BD affiliatedOct 20, 2023 to Jun 10, 2025 · Garden City, Ny
- Ameriprise Financial Services, LLC national BDNov 1, 2018 to Oct 13, 2023 · New York, Ny
- Eagle Strategies LLC BD affiliatedMay 23, 2017 to Feb 22, 2018 · New York, Ny
- Equitable Advisors, LLC national BDSep 9, 2015 to Jan 18, 2017 · Astoria, Ny
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Feb 10, 2015 · Flushing, Ny
- Chase Investment Services Corp. formerMay 6, 2009 to Oct 1, 2012 · Jamaica, Ny
Moves
a registration end followed by a registration begin elsewhere
- MML Investors Services, LLC to Spartan Capital Private Wealth Management LLCleft Jun 10, 2025, registered Mar 9, 2026 (272 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Ameriprise Financial Services, LLC to MML Investors Services, LLCleft Oct 13, 2023, registered Oct 20, 2023 (7 days) · Affiliated broker-dealer or bank to another
- Eagle Strategies LLC to Ameriprise Financial Services, LLCleft Feb 22, 2018, registered Nov 1, 2018 (252 days) · Other
- Equitable Advisors, LLC to Eagle Strategies LLCleft Jan 18, 2017, registered May 23, 2017 (125 days) · Other
- J.P. Morgan Securities LLC to Equitable Advisors, LLCleft Feb 10, 2015, registered Sep 9, 2015 (211 days) · Wirehouse to affiliated broker-dealer or bank
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Signals
- William Esteban Romero left Mml Investors Services, Llc for Spartan Capital Private Wealth Management Llc (registered 2026-03-09)Jun 10, 2025 · Advisor changed firm · fact
- William Esteban Romero left Ameriprise Financial Services, Llc for Mml Investors Services, Llc (registered 2023-10-20)Oct 13, 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
- STATE REGISTEREDderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address