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
Lindsay Morganstein
Feed of 09/14/2026
Also filed as Lindsay Morganstein
At current firm
1 y
since Oct 3, 2024
In the industry
18 y
since Jan 3, 2008 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65
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 Oct 3, 2024 · Phoenix, Az
- Ameriprise Financial Services, LLC national BDFeb 9, 2022 to Aug 29, 2024 · Phoenix, Az
- Robotic Trading Advisors, LLC formerOct 4, 2016 to Dec 31, 2017 · Scottsdale, Az
- Robotic Trading Advisors, LLC formerJan 15, 2014 to Jul 6, 2015 · Scottsdale, Az
- Arque Capital, Ltd. unclassifiedApr 25, 2012 to Feb 19, 2013 · Scottsdale, Az
- Equitable Advisors, LLC national BDJul 29, 2010 to Sep 23, 2010 · San Francisco, Ca
- New England Securities Corporation formerMar 23, 2009 to May 17, 2010 · Elkridge, Md
- LPL Financial LLC BD affiliatedJun 3, 2008 to Aug 12, 2008 · Rockville, Md
- Citigroup Global Markets Inc. BD affiliatedJan 3, 2008 to May 29, 2008 · Bethesda, Md
Moves
a registration end followed by a registration begin elsewhere
- Ameriprise Financial Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Aug 29, 2024, registered Oct 3, 2024 (35 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- Robotic Trading Advisors, LLC to Ameriprise Financial Services, LLCleft Dec 31, 2017, registered Feb 9, 2022 (1501 days) · RIA to affiliated broker-dealer or bank
- Arque Capital, Ltd. to Robotic Trading Advisors, LLCleft Feb 19, 2013, registered Jan 15, 2014 (330 days) · Other
- Equitable Advisors, LLC to Arque Capital, Ltd.left Sep 23, 2010, registered Apr 25, 2012 (580 days) · Other
- New England Securities Corporation to Equitable Advisors, LLCleft May 17, 2010, registered Jul 29, 2010 (73 days) · Other
- LPL Financial LLC to New England Securities Corporationleft Aug 12, 2008, registered Mar 23, 2009 (223 days) · Other
- Citigroup Global Markets Inc. to LPL Financial LLCleft May 29, 2008, registered Jun 3, 2008 (5 days) · Other
Signals
- Lindsay Morganstein left Ameriprise Financial Services, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-10-03)Aug 29, 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address