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

Charles Austin Sacco

MarinerBD affiliatedNew York, Ny IA-onlyIAPD 6618055

Certified Financial Planner

Feed of 09/14/2026

Also filed as Charles A Sacco

At current firm

0 y

since Aug 13, 2026

In the industry

10 y

since Mar 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Mariner BD affiliated current
since Aug 13, 2026 · New York, Ny
Concurrent Investment Advisors, LLC independent RIA
Jan 9, 2026 to Aug 13, 2026 · Jersey City, Nj
Janney Montgomery Scott LLC BD affiliated
Aug 23, 2024 to Jan 10, 2026 · New York, Ny
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jan 11, 2022 to Aug 28, 2024 · New York, Ny
J.P. Morgan Securities LLC wirehouse
Jan 26, 2021 to Oct 28, 2021 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Concurrent Investment Advisors, LLC to Mariner
left Aug 13, 2026, registered Aug 13, 2026 (0 days) · RIA to affiliated broker-dealer or bank
Janney Montgomery Scott LLC to Concurrent Investment Advisors, LLC
left Jan 10, 2026, registered Jan 9, 2026 (-1 days) · Affiliated broker-dealer or bank to independent RIA
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Janney Montgomery Scott LLC
left Aug 28, 2024, registered Aug 23, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank
J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 28, 2021, registered Jan 11, 2022 (75 days) · Wirehouse to wirehouse · moved with a team

Signals

Charles Austin Sacco left Concurrent Investment Advisors, Llc for Mariner (registered 2026-08-13)
Aug 13, 2026 · Advisor changed firm · fact
Charles Austin Sacco left Janney Montgomery Scott Llc for Concurrent Investment Advisors, Llc (registered 2026-01-09)
Jan 10, 2026 · Advisor changed firm · fact
Charles Austin Sacco left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Janney Montgomery Scott Llc (registered 2024-08-23)
Aug 28, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address