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
Carlos Alberto Prince
Feed of 09/14/2026
Also filed as Carlos Prince
At current firm
1 y
since May 12, 2025
In the industry
19 y
since Aug 30, 2007 (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
S63, 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
- Legacy Edge Advisors independent RIA currentsince May 12, 2025 · Conshohocken, Pa
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 29, 2021 to May 5, 2025 · Philadelphia, Pa
- Advice And Planning Services BD affiliatedApr 9, 2012 to Nov 4, 2021 · Philadelphia, Pa
- Ascensus Financial Services, LLC. unclassifiedFeb 6, 2012 to Mar 21, 2012 · Cranbury, Nj
- Td Ameritrade Investment Management, LLC formerJan 12, 2010 to Jan 9, 2012 · Radnor, Pa
- Td Ameritrade, Inc. formerJan 12, 2010 to Jan 9, 2012 · Radnor, Pa
- Strategic Advisers LLC national BDDec 24, 2008 to Jan 6, 2010 · King Of Prussia, Pa
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Legacy Edge Advisorsleft May 5, 2025, registered May 12, 2025 (7 days) · Wirehouse to independent RIA
- Advice And Planning Services to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Nov 4, 2021, registered Nov 29, 2021 (25 days) · Affiliated broker-dealer or bank to wirehouse
- Ascensus Financial Services, LLC. to Advice And Planning Servicesleft Mar 21, 2012, registered Apr 9, 2012 (19 days) · Other
- Td Ameritrade Investment Management, LLC to Ascensus Financial Services, LLC.left Jan 9, 2012, registered Feb 6, 2012 (28 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Jan 9, 2012, registered Jan 12, 2010 (-727 days) · channel change inside one enterprise, not a move
- Strategic Advisers LLC to Td Ameritrade, Inc.left Jan 6, 2010, registered Jan 12, 2010 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
- Carlos Alberto Prince left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Legacy Edge Advisors (registered 2025-05-12)May 5, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address