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
Ali Abbas
Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehousePalm Beach, Fldual registrantIAPD 5870573
Feed of 09/14/2026
At current firm
11 y
since Nov 12, 2014
In the industry
15 y
since Jun 2, 2011 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Nov 12, 2014 · Palm Beach, Fl
- Bb&T Investment Services, Inc. formerJan 16, 2014 to Oct 31, 2014 · Pompano Beach, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 10, 2012 to Dec 23, 2013 · Jupiter, Fl
- Kovack Advisors, Inc. BD affiliatedJun 21, 2011 to Apr 30, 2012 · Ft. Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- Bb&T Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 31, 2014, registered Nov 12, 2014 (12 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Bb&T Investment Services, Inc.left Dec 23, 2013, registered Jan 16, 2014 (24 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Kovack Advisors, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 30, 2012, registered Sep 10, 2012 (133 days) · Other
Signals
No dated event on this person.
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address