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
Sara Miriam Rosenberg
Spartan Capital Private Wealth Management LLCstate registeredNew York, Nydual registrantIAPD 7067187
Feed of 09/14/2026
At current firm
2 y
since May 21, 2024
In the industry
16 y
since Jun 1, 2010 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- Spartan Capital Private Wealth Management LLC state registered currentsince May 21, 2024 · New York, Ny
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 1, 2023 to Jun 3, 2024 · New York, Ny
- MML Investors Services, LLC BD affiliatedJun 14, 2021 to Feb 9, 2023 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Spartan Capital Private Wealth Management LLCleft Jun 3, 2024, registered May 21, 2024 (-13 days) · Wirehouse to a state-registered adviser
- MML Investors Services, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Feb 9, 2023, registered May 1, 2023 (81 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Sara Miriam Rosenberg left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Spartan Capital Private Wealth Management Llc (registered 2024-05-21)Jun 3, 2024 · Advisor changed firm · fact
- Sara Miriam Rosenberg left Mml Investors Services, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-05-01)Feb 9, 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address