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

Lucas Joseph Sapienza

Citigroup Global Markets Inc.BD affiliatedBrooklyn, Ny dual registrantIAPD 6800659

Feed of 09/14/2026

Also filed as Lucas Sapienza

At current firm

0 y

since Sep 1, 2026

In the industry

12 y

since Aug 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Citigroup Global Markets Inc. BD affiliated current
since Sep 1, 2026 · Brooklyn, Ny
Fidelity Personal And Workplace Advisors former
Apr 25, 2023 to Feb 19, 2025 · New York, Ny
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Apr 29, 2020 to Mar 21, 2023 · New York, Ny
Neuberger Berman Bd LLC no RAUM
Jul 9, 2019 to Apr 7, 2020 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Fidelity Personal And Workplace Advisors to Citigroup Global Markets Inc.
left Feb 19, 2025, registered Sep 1, 2026 (559 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Fidelity Personal And Workplace Advisors
left Mar 21, 2023, registered Apr 25, 2023 (35 days) · Wirehouse to affiliated broker-dealer or bank
Neuberger Berman Bd LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Apr 7, 2020, registered Apr 29, 2020 (22 days) · Other

Signals

Lucas Joseph Sapienza left Fidelity Personal And Workplace Advisors for Citigroup Global Markets Inc. (registered 2026-09-01)
Feb 19, 2025 · Advisor changed firm · fact
Lucas Joseph Sapienza left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Fidelity Personal And Workplace Advisors (registered 2023-04-25)
Mar 21, 2023 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address