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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

N•••••• K•••••

S•••••••• A••••••• L••national BDScarsdale, Nydual registrantIAPD 5739720

Feed of 09/14/2026

Also filed as Neville Kapoor

At current firm

1 y

since Mar 31, 2025

In the industry

16 y

since Jan 29, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Scarsdale, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 23, 2025 to Mar 31, 2025 · Scarsdale, Ny
C•••••• S••••• • C••• I••• national BD
May 22, 2024 to Dec 15, 2024 · Mt Kisco, Ny
M••••• S•••••• wirehouse
Sep 5, 2023 to Apr 8, 2024 · Purchase, Ny
E•••••• C•••••• M••••••••• L•• former
Jun 15, 2018 to Sep 5, 2023 · Scarsdale, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 28, 2014 to Jun 7, 2018 · White Plains, Ny

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 15, 2024, registered Jan 23, 2025 (39 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C•••••• S••••• • C••• I•••
left Apr 8, 2024, registered May 22, 2024 (44 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••
left Jun 7, 2018, registered Jun 15, 2018 (8 days) · Wirehouse to independent RIA

Signals

Neville Kapoor left Charles Schwab & Co., Inc. for Fidelity Personal And Workplace Advisors (registered 2025-01-23)
Dec 15, 2024 · Advisor changed firm · fact
Neville Kapoor left Morgan Stanley for Charles Schwab & Co., Inc. (registered 2024-05-22)
Apr 8, 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: National broker-dealer RIAderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address