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.
Feed of 09/14/2026
Also filed as John Abreu
At current firm
1 y
since Mar 31, 2025
In the industry
17 y
since Jun 1, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Chicago, Il
- Fidelity Personal And Workplace Advisors formerNov 17, 2022 to Mar 31, 2025 · Chicago, Il
- E*Trade Capital Management, LLC formerSep 20, 2017 to Sep 12, 2022 · Chicago, Il
- Morgan Stanley wirehouseMar 20, 2015 to Sep 18, 2017 · Jericho, Ny
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 18, 2011 to Mar 23, 2015 · Great Neck, Ny
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E*Trade Capital Management, LLC to Fidelity Personal And Workplace Advisorsleft Sep 12, 2022, registered Nov 17, 2022 (66 days) · RIA to affiliated broker-dealer or bank
- Morgan Stanley to E*Trade Capital Management, LLCleft Sep 18, 2017, registered Sep 20, 2017 (2 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanleyleft Mar 23, 2015, registered Mar 20, 2015 (-3 days) · Wirehouse to wirehouse · moved with a team
Signals
- John Abreu left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2022-11-17)Sep 12, 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address