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
Roy A Schoenfeld
Feed of 09/16/2026
At current firm
0 y
since Sep 15, 2026
In the industry
14 y
since Jul 6, 2012 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- MML Investors Services, LLC BD affiliated currentsince Sep 15, 2026 · Manalapan, Nj
- Osaic Wealth, Inc. BD affiliatedJan 24, 2025 to Sep 10, 2026 · Red Bank, Nj
- Osaic Fa, Inc. formerJun 13, 2019 to Jan 24, 2025 · Manalapan, Nj
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 6, 2013 to May 17, 2019 · New York, Ny
- Morgan Stanley wirehouseJul 10, 2012 to Jun 28, 2013 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Osaic Wealth, Inc. to MML Investors Services, LLCleft Sep 10, 2026, registered Sep 15, 2026 (5 days) · Affiliated broker-dealer or bank to another
- Osaic Fa, Inc. to Osaic Wealth, Inc.left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Osaic Fa, Inc.left May 17, 2019, registered Jun 13, 2019 (27 days) · Wirehouse to affiliated broker-dealer or bank
- Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jun 28, 2013, registered Jun 6, 2013 (-22 days) · Wirehouse to wirehouse
Signals
- Roy A Schoenfeld registered as an investment adviser representative at Mml Investors Services, LlcSep 15, 2026 · Advisor registered · fact
- Roy A Schoenfeld left Osaic Wealth, Inc. for MML Investors Services, LLC (registered 2026-09-15)Sep 10, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address