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.

SEC-registered adviser

Dominari Securities LLC

Independent wealth managerNew York, New YorkCRD 18975SEC 801-78295websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Jun 27, 2013 · 65 filings
SEC status approved since Jul 31, 2013
RAUM
$28.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
76%
$21.2M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$1.6M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$28.0M as of Mar 30, 2026
Mar 28, 2014$1.2B then
HNW client RAUM$0 as of Mar 30, 2026
Mar 29, 2018$1.4B then
State-registered IARs (5.B.3)14 as of Mar 30, 2026
Mar 28, 201415 then
Employees (5.A)14 as of Mar 30, 2026
Mar 28, 201428 then
Private funds: no history
RAUM -33% over the last fiscal year-37% a year over threeIARs 0 to 14
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$1.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$289,139derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.8derivedItem 5.A over advisors
Advisors per office
17.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-33%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$29.4MreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$21.2M76%
  • Corporations and businesses$6.8M24%
Individual clients
60reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
97reported
Financial planning clients
1-10reported
Wrap fee programs
$29.4M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.76 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=14.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Joshua Anthony ShipleyNew York, NyApr 13, 202310 y1
Najat RhoniNew York, NyApr 16, 202318 y4
Jerome Frank NilesNew York, NyApr 28, 202327 y2
Soo Jeoung YuNew York, Ny Aug 16, 202320 y0
Larry Dean LavoiceNew York, NyAug 28, 202335 y2
Dylan AngulasNew York, NySep 5, 202313 y2
William Laurence HaringNew York, NyDec 12, 202313 y0
Eric NewmanNew York, NyMar 11, 202430 y3
John Marshall WilliamsNew York, NyOct 8, 202429 y0
Christopher GiuntaNew York, NyOct 30, 202512 y0
Michael Joseph NadlerNew York, NyNov 10, 202510 y2
Jeffrey Ryan AlfonsoNew York, NyDec 3, 202510 y3
Jay Jino YuNew York, NyMar 23, 202615 y0
Ian SteffensenNew York, NyMar 23, 202612 y0
Christopher Franklin DevallNew York, NyMar 23, 202626 y0
Simon Jordan HannaNew York, NyMar 23, 202611 y0
Justin M CifoneNew York, NyApr 13, 202610 y1
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jaime Mercado · Chief Compliance Officer, Amlcocontrol
    since 02/2024 · owns less than 5%
  • Kyle Michael Wool · Ceo/ Presidentcontrol
    since 05/2023 · owns less than 5%
  • Robert Campbell · Finop And Principal Financial Officer And Principal Operations Officer
    since 03/2021 · owns less than 5%
Entity owners
  • Dominari Financial, Inc. · Owner
    direct · owns 75% or more
  • Dominari Holdings Inc. · Shareholder
    indirect · owns 75% or more of Dominari Financial Inc. · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Dominari Securities LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal17801
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • account count collapseChange between filings · filing Mar 30, 2026
    accounts (Item 5.F.2.f) moved from 235.0 to 97.0 (-59.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +2.0% (136 comparable advisers, 9.0th percentile of changes)
    peers: independent wealth managers, under $100M (136) · 8.9% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 235 to 97
    Mar 31, 2025 to Mar 30, 2026
  • BD registered reps · 11 to 14
    Mar 31, 2025 to Mar 30, 2026
  • Corporate clients · 14 to 3
    Mar 31, 2025 to Mar 30, 2026
  • Individual clients · 221 to 60
    Mar 31, 2025 to Mar 30, 2026
  • Employees · 11 to 14
    Mar 31, 2025 to Mar 30, 2026
  • State-registered IARs · 0 to 14
    Mar 31, 2025 to Mar 30, 2026
  • Discretionary RAUM · $11.1M to $0
    Mar 31, 2025 to Mar 30, 2026
  • Individual RAUM · $35.2M to $21.2M
    Mar 31, 2025 to Mar 30, 2026
  • Non-discretionary RAUM · $30.6M to $28.0M
    Mar 31, 2025 to Mar 30, 2026
  • RAUM · $41.6M to $28.0M
    Mar 31, 2025 to Mar 30, 2026
  • Accounts · 124 to 235
    Sep 5, 2024 to Mar 31, 2025
  • Corporate clients · unset to 14.0
    Sep 5, 2024 to Mar 31, 2025
  • HNW clients · 43.0 to unset
    Sep 5, 2024 to Mar 31, 2025
  • Individual clients · 81 to 221
    Sep 5, 2024 to Mar 31, 2025
  • Financial planning clients · 1-10 to 1-10
    Sep 5, 2024 to Mar 31, 2025
  • Discretionary RAUM · $26.8M to $11.1M
    Sep 5, 2024 to Mar 31, 2025
  • HNW RAUM · $25.0M to $0
    Sep 5, 2024 to Mar 31, 2025
  • Individual RAUM · $1.8M to $35.2M
    Sep 5, 2024 to Mar 31, 2025
  • Non-discretionary RAUM · $0 to $30.6M
    Sep 5, 2024 to Mar 31, 2025
  • RAUM · $26.8M to $41.6M
    Sep 5, 2024 to Mar 31, 2025
  • Wrap assets (manager) · $18.6M to $0
    Sep 5, 2024 to Mar 31, 2025
  • Wrap assets (sponsor) · $8.2M to $29.4M
    Sep 5, 2024 to Mar 31, 2025
  • BD registered reps · 6 to 11
    Jul 6, 2023 to Mar 28, 2024
  • Accounts · 283 to 124
    Jul 6, 2023 to Mar 28, 2024
  • Advisory employees · 1 to 8
    Jul 6, 2023 to Mar 28, 2024
  • HNW clients · 104 to 43
    Jul 6, 2023 to Mar 28, 2024
  • Individual clients · 179 to 81
    Jul 6, 2023 to Mar 28, 2024
  • Employees · 6 to 11
    Jul 6, 2023 to Mar 28, 2024
  • Insurance-licensed employees · 1 to 0
    Jul 6, 2023 to Mar 28, 2024
  • State-registered IARs · 2 to 0
    Jul 6, 2023 to Mar 28, 2024
  • Discretionary RAUM · $0 to $26.8M
    Jul 6, 2023 to Mar 28, 2024
  • HNW RAUM · $27.2M to $25.0M
    Jul 6, 2023 to Mar 28, 2024
  • Individual RAUM · $2.9M to $1.8M
    Jul 6, 2023 to Mar 28, 2024
  • Non-discretionary RAUM · $30.1M to $0
    Jul 6, 2023 to Mar 28, 2024
  • RAUM · $30.1M to $26.8M
    Jul 6, 2023 to Mar 28, 2024
  • Wrap assets (manager) · $0 to $18.6M
    Jul 6, 2023 to Mar 28, 2024
  • Wrap assets (sponsor) · $0 to $8.2M
    Jul 6, 2023 to Mar 28, 2024
  • Business name · FIELDPOINT PRIVATE SECURITIES LLC to DOMINARI SECURITIES LLC
    Apr 14, 2023 to Jun 2, 2023
  • Legal name · FIELDPOINT PRIVATE SECURITIES, LLC to DOMINARI SECURITIES LLC
    Apr 14, 2023 to Jun 2, 2023
  • Wrap assets (manager) · unset to 0.0
    Apr 14, 2023 to Jun 2, 2023
Signals
60 dated events
  • Dominari Securities Llc reported 14 state-registered advisory representatives, up from 0 (2025-03-31 to 2026-03-30)
    Mar 30, 2026 · Advisor headcount change · derived
  • James Campbell Balk left Dominari Securities Llc for Fortis Capital Advisors, Llc (registered 2024-06-12)
    May 7, 2024 · Advisor changed firm · fact
  • Steven Lee Thornton (Cco) no longer on Schedule A of Dominari Securities Llc (listed 2023-07-06, absent 2024-03-28)
    Mar 28, 2024 · Control person left · inference
  • Jaime Mercado (Chief Compliance Officer, Amlco) appeared on Schedule A of Dominari Securities Llc
    Mar 28, 2024 · Control person joined · fact
  • Cathy Louise Mayberry (Operations Director) no longer on Schedule A of Dominari Securities Llc (listed 2023-07-06, absent 2024-03-28)
    Mar 28, 2024 · Control person left · inference
  • David Edward Achzet (Chief Compliance Officer, Municipal Principal, Rosfp) no longer on Schedule A of Dominari Securities Llc (listed 2023-06-02, absent 2023-06-02)
    Jun 2, 2023 · Control person left · inference
  • Scott Ives Noah (Ceo/President) no longer on Schedule A of Dominari Securities Llc (listed 2023-06-02, absent 2023-06-02)
    Jun 2, 2023 · Control person left · inference
  • Kyle Michael Wool (Ceo/ President) appeared on Schedule A of Dominari Securities Llc
    Jun 2, 2023 · Control person joined · fact
  • Steven Lee Thornton (Cco) appeared on Schedule A of Dominari Securities Llc
    Jun 2, 2023 · Control person joined · fact
  • David Edward Achzet left Dominari Securities Llc for Quint Capital Management (registered 2024-04-05)
    May 4, 2023 · Advisor changed firm · fact
  • Harry Russell Holland (Chairman) no longer on Schedule A of Dominari Securities Llc (listed 2023-03-24, absent 2023-04-14)
    Apr 14, 2023 · Control person left · inference
  • David Edward Achzet (Chief Compliance Officer, Municipal Principal, Rosfp) appeared on Schedule A of Dominari Securities Llc
    Apr 14, 2023 · Control person joined · fact
  • Dominari Securities Llc reported RAUM $111.0M, down 90% from $1.1B (2022-12-13 to 2023-03-24)
    Mar 24, 2023 · RAUM change · derived
  • Emmitt Smith left Dominari Securities Llc for Lpl Financial Llc (registered 2023-06-02)
    Mar 2, 2023 · Advisor changed firm · fact
  • Dara K Johnson left Dominari Securities Llc for Hampshire Family Office (registered 2023-06-14)
    Dec 22, 2022 · Advisor changed firm · fact
  • Daniel David Jonker left Dominari Securities Llc for Summit Financial, Llc (registered 2022-12-22)
    Dec 22, 2022 · Advisor changed firm · fact
  • Nicholas James Bertha left Dominari Securities Llc for Hampshire Family Office (registered 2023-06-21)
    Nov 30, 2022 · Advisor changed firm · fact
  • Greg Blaney Reidy left Dominari Securities Llc for Hampshire Family Office (registered 2023-05-02)
    Nov 22, 2022 · Advisor changed firm · fact
  • Christina Hudson left Dominari Securities Llc for Invenio Wealth Partners, Llc (registered 2024-11-26)
    Nov 21, 2022 · Advisor changed firm · fact
  • 2 advisors left Dominari Securities LLC (New York, NY) for Invenio Wealth Partners, LLC on the same day
    Nov 21, 2022 · Team lift-out · derived
  • Joseph Amado Fernandez left Dominari Securities Llc for Invenio Wealth Partners, Llc (registered 2023-01-03)
    Nov 21, 2022 · Advisor changed firm · fact
  • Jaclyn Ann Green left Dominari Securities Llc for Snowden Capital Advisors Llc (registered 2022-08-29)
    Oct 3, 2022 · Advisor changed firm · fact
  • Dominari Securities Llc reported RAUM $1.1B, down 63% from $3.0B (2022-05-13 to 2022-09-30)
    Sep 30, 2022 · RAUM change · derived
  • Scott Ives Noah (Interim Ceo/President) appeared on Schedule A of Dominari Securities Llc
    Sep 30, 2022 · Control person joined · fact
  • Harry Russell Holland (Chairman) appeared on Schedule A of Dominari Securities Llc
    Sep 30, 2022 · Control person joined · fact
  • Mary Margaret Cooke (Chief Compliance Officer, Rosfp, Municipal Principal) appeared on Schedule A of Dominari Securities Llc
    Sep 30, 2022 · Control person joined · fact
  • Dominari Securities Llc reported 5 state-registered advisory representatives, down from 18 (2022-05-13 to 2022-09-30)
    Sep 30, 2022 · Advisor headcount change · derived
  • David Edward Achzet (Interim Ceo/President, Chief Compliance Officer, Rosfp, Municipal Principal) no longer on Schedule A of Dominari Securities Llc (listed 2022-05-13, absent 2022-09-30)
    Sep 30, 2022 · Control person left · inference
  • Timothy J Tully (Chairman) no longer on Schedule A of Dominari Securities Llc (listed 2022-05-13, absent 2022-09-30)
    Sep 30, 2022 · Control person left · inference
  • Allen Anton Jacobi left Dominari Securities Llc for Snowden Capital Advisors Llc (registered 2022-08-11)
    Aug 11, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business phone
212-393-4500reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
800-299-7618reportedpublished by the firm, firm site, Sep 15, 2026
Website
dominarisecurities.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
212-393-4500reportedpublic record, Form ADV, Mar 30, 2026
Contact form
dominarisecurities.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page
dominarisecurities.com/leadership-advisoryreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$1.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026