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
Hsbc Securities (USA) Inc.
Latest filing Aug 3, 2026
First filing on the tape Mar 30, 2012 · 167 filings
SEC status approved since Aug 30, 2005
RAUM
$3.8B
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
96%
$3.7B individuals and HNW
Advisors
376
registered through the firm on IAPD
RAUM per advisor
$10.2M
derived; firm RAUM over IAPD count
Employees
490
402 advisory (5.B.1)
Offices
58
beyond the principal office
Private funds
8
reported on Schedule D
History
167 filings and snapshots on the tape
RAUM$3.8B as of Aug 3, 2026
Mar 30, 2012$5.9B then
HNW client RAUM$1.6B as of Aug 3, 2026
Mar 30, 2018$731M then
State-registered IARs (5.B.3)199 as of Aug 3, 2026
Mar 30, 20120 then
Employees (5.A)490 as of Aug 3, 2026
Mar 28, 20131,598 then
Private funds8 as of Aug 3, 2026
Mar 30, 201220 then
RAUM +19% over the last fiscal year+11% a year over threeIARs 108 to 199offices 63 to 58
Practice profile
derived from the filing of Aug 3, 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)
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $10.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $865,677derivedHNW RAUM over HNW clients
- Average account
- $316,989derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 21%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.4derived59 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +84%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $7.7BreportedItem 5.I
- Custody
- $3.9B, 12,636 clientsreportedItem 9.A
- 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)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.1B56%
- High-net-worth individuals$1.6B40%
- Pooled investment vehicles$88.0M2.3%
- Corporations and businesses$45.5M1.2%
- Pension and profit-sharing plans$5.0M0.1%
- Individual clients
- 10,254reported
- HNW clients
- 1,791reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 12,108reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $3.8B sponsored, $3.2B managedreported
- Custody of client assets
- $3.9B for 12,636 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.96 fund_share=0.02 institutional_share=0.0 related_bd=true related_bank=true bd_reps=365.0derived
Advisors registered through the firm
376 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Gerald James Marra | New York, Ny | Dec 6, 2005 | 29 y | 0 |
| John Patrick Sulit | Scarsdale, Ny | Jan 31, 2006 | 25 y | 1 |
| Jordan Michael Hoffman | New York, Ny | Jun 8, 2006 | 30 y | 1 |
| Raymond S Steele | Marlboro, Nj | Jul 10, 2006 | 34 y | 0 |
| Minching Tso-Lam | New York, Ny | Jul 13, 2006 | 24 y | 0 |
| David Edward Kalata | Los Angeles, Ca | Aug 10, 2007 | 25 y | 0 |
| Christian Arlia | Brooklyn, Ny | Aug 29, 2007 | 31 y | 0 |
| Rajesh Kishin Changlani | Miami, Fl | Nov 29, 2007 | 20 y | 0 |
| Andrew Joseph Passeri | New York, Ny | Dec 6, 2007 | 26 y | 0 |
| Patrick Francis NorrisCertified Financial Planner | Amherst, Ny | Jan 29, 2008 | 38 y | 0 |
| Aniello Gino Fabi | Staten Island, Ny | Aug 14, 2008 | 32 y | 0 |
| Emily Tsai Lin | Arcadia, Ca | Dec 15, 2008 | 27 y | 2 |
| Thomas Gerard Zippilli | Staten Island, Ny | Feb 4, 2009 | 30 y | 1 |
| Karen Marianne Acher-Howard | Miami Beach, Fl | Feb 9, 2009 | 28 y | 1 |
| Nicholas Peter Tedesco | Bronx, Ny | Mar 11, 2009 | 32 y | 0 |
| Andrew Paul Fox | Buffalo, Ny | Jun 12, 2009 | 37 y | 2 |
| Anil Chandrakant Patel | Irvine, Ca | Jul 6, 2009 | 25 y | 2 |
| Bradley T Golding | Buffalo, Ny | Jul 10, 2009 | 19 y | 1 |
| Richard David CordellCertified Financial Planner | Beverly Hills, Ca | Sep 9, 2009 | 29 y | 1 |
| Robert Louis Garomo | Brooklyn, Ny | Oct 30, 2009 | 31 y | 2 |
| Curtis Frank Vega | Los Angeles, Ca | Jan 1, 2010 | 16 y | 0 |
| Brian David Smith | New York, Ny | Jan 1, 2010 | 20 y | 0 |
| Allison Patricia Mahoney | Briarcliff Manor, Ny | Jan 6, 2010 | 17 y | 0 |
| Jason Marc KlagerCertified Financial Planner | New Hyde Park, Ny | Feb 11, 2010 | 20 y | 0 |
| Lan LiCertified Financial Planner | Cupertino, Ca | Feb 12, 2010 | 20 y | 2 |
| John Henien | Tysons, Va | Feb 19, 2010 | 22 y | 0 |
| Wendy F FengCertified Financial Planner | Brooklyn, Ny | Mar 12, 2010 | 29 y | 2 |
| Martha Elena Bermudez | Miami, Fl | Mar 12, 2010 | 31 y | 3 |
| Luke Jauhola | Seattle, Wa | Mar 19, 2010 | 23 y | 3 |
| Cindy Shu-Yin Chen | Walnut, Ca | Jul 14, 2010 | 26 y | 1 |
| Peter Joseph Curtin | New York, Ny | Sep 14, 2010 | 19 y | 0 |
| Lorena Braunstein | Flushing, Ny | Nov 3, 2010 | 19 y | 0 |
| Ajay Loganadan | New York, Ny | Dec 20, 2010 | 16 y | 0 |
| Martin A Squicciarini | Brooklyn, Ny | Feb 17, 2011 | 17 y | 4 |
| Diana L LaraChartered Financial Analyst | Miami, Fl | Jul 12, 2011 | 15 y | 0 |
| Sung Yu Liu | Cupertino, Ca | Aug 29, 2011 | 19 y | 2 |
| Kimberly Cebrik | New York, Ny | Oct 19, 2011 | 27 y | 2 |
| Alfonso Montoya | Aventura, Fl | May 22, 2012 | 27 y | 4 |
| Jean Bifano | New York, Ny | Jun 18, 2012 | 25 y | 3 |
| Kun Lin Chung | San Jose, Ca | Aug 22, 2012 | 20 y | 2 |
Advisor movement
29 left, 40 joined in 12 months
net +11 in 12 months3 left in 90 days3 joined in 90 daysdeparture rate 7.7% of current headcount71 left over 36 months
Left, latest
- Gregg Eisenstein to LPL Financial LLCAug 11, 2026 · Affiliated broker-dealer or bank to another
- David Manjarres to J.P. Morgan Securities LLCJul 16, 2026 · Affiliated broker-dealer or bank to wirehouse
- Angela Marie Sebastiano to Morgan StanleyJul 1, 2026 · Affiliated broker-dealer or bank to wirehouse
- Samah Adem to Wells Fargo AdvisorsJun 18, 2026 · Affiliated broker-dealer or bank to wirehouse
- Yali Pan Sheneman to Transamerica Financial Advisors, LLCJun 16, 2026 · Affiliated broker-dealer or bank to another
- Jason P Oreilly to LPL Financial LLCJun 16, 2026 · Affiliated broker-dealer or bank to another
- Andrew Soliman to LPL Financial LLCMay 14, 2026 · Affiliated broker-dealer or bank to another
- Christine Prakash to LPL Financial LLCApr 17, 2026 · Affiliated broker-dealer or bank to another
- Nicholas Benedetto to Citigroup Global Markets Inc.Feb 12, 2026 · Affiliated broker-dealer or bank to another
- Monica Mavignier to Morgan StanleyFeb 2, 2026 · Affiliated broker-dealer or bank to wirehouse
- Nicole Schuery to Morgan StanleyJan 23, 2026 · Affiliated broker-dealer or bank to wirehouse
- Carolina Costa Candia to Morgan StanleyJan 14, 2026 · Affiliated broker-dealer or bank to wirehouse
- Nelson Robert Matzen to Forvis Mazars Wealth Advisors, LLCJan 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- Charles Edward Baranich to Wilmington Trust Investment Advisors, Inc.Dec 26, 2025 · Other
- Gonzalo E Pizarro to Wells Fargo AdvisorsDec 26, 2025 · Affiliated broker-dealer or bank to wirehouse
Joined, latest
- Rayman A Bovell from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 4, 2026 · Wirehouse to affiliated broker-dealer or bank
- Haider Ali from Morgan StanleySep 4, 2026 · Wirehouse to affiliated broker-dealer or bank
- Hector A Guides from Citigroup Global Markets Inc.Jun 19, 2026 · Affiliated broker-dealer or bank to another
- Millene Gomez-Neumayr from J.P. Morgan Securities LLCJun 10, 2026 · Wirehouse to affiliated broker-dealer or bank
- Maria Cristina R.L.G Pinto Figueiroa R. from Larch Capital Partners LLCJun 9, 2026 · Other
- Guoli Rothbaum from Wells Fargo AdvisorsMay 18, 2026 · Wirehouse to affiliated broker-dealer or bank
- Erica Lihong Pu from MML Investors Services, LLCMay 14, 2026 · Affiliated broker-dealer or bank to another
- Jose Baez from Citigroup Global Markets Inc.Apr 23, 2026 · Affiliated broker-dealer or bank to another
- Gustavo Pecego from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 23, 2026 · Wirehouse to affiliated broker-dealer or bank
- Helio Hashimoto from Banco Do Brasil Securities LLCApr 21, 2026 · Other
- Sabrina Denise Tellalian from Citigroup Global Markets Inc.Apr 17, 2026 · Affiliated broker-dealer or bank to another
- Patrick Wild from Putnam Investment Management, LLCApr 17, 2026 · Other
- Fabio Nunes from Strategic Advisers LLCApr 8, 2026 · Affiliated broker-dealer or bank to another
- Michael Rader from LPL Financial LLCMar 26, 2026 · Affiliated broker-dealer or bank to another
- David Manjarres from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 24, 2026 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Morgan StanleyJan 14, 2026 · Miami, Fl
- 3 left for Citigroup Global Markets Inc.Jun 26, 2025 · San Mateo, Ca
- 2 left for Wells Fargo AdvisorsJun 13, 2025 · Irvine, Ca
- 2 left for Citizens Securities, Inc.Oct 10, 2024 · New Hyde Park, Ny
- 2 left for UBS Financial Services Inc.Jul 3, 2023 · Miami, Fl
- 2 left for Osaic Institutions, Inc.Jul 3, 2023 · New York, Ny
- 2 left for Osaic Institutions, Inc.Sep 15, 2022 · New York, Ny
- 2 left for Citigroup Global Markets Inc.Aug 3, 2022 · Irvine, Ca
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 17, 2026 · New York, Ny
- 2 joined from Citigroup Global Markets Inc.Apr 2, 2024 · San Francisco, Ca
- 2 joined from M&T Securities, Inc.Jun 9, 2021 · Buffalo, Ny
- 2 joined from Usaa Financial Planning ServicesJul 28, 2016 · New York,, Ny
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 14, 2015 · Miami, Fl
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 1, 2015 · Flushing, Ny
Private funds
20 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Bryant Park Funding, LLC.no longer reported | Securitized Asset Fund | $372M | 1 | Mar 30, 2012 |
| 452 Private Equity Investors Cayman L.P. | Private Equity Fund | $44.0M | 4 | Mar 7, 2012 |
| 452 Latin America Private Equity Investors L.P. | Private Equity Fund | $22.5M | 3 | Mar 7, 2012 |
| Hsbc Private Equity Fund Partners USA L.P.no longer reported | Private Equity Fund | $18.4M | 2 | Mar 7, 2012 |
| Milano Investor LLCno longer reported | Real Estate Fund | $18.1M | 3 | Mar 7, 2012 |
| Hsbc Latin America Fund Partners L.P.no longer reported | Private Equity Fund | $8.7M | 2 | Mar 7, 2012 |
| 452 Private Equity Partners II USA L.P. | Private Equity Fund | $7.1M | 2 | Mar 7, 2012 |
| Hsbc Latin American Coinvestment Partners, L.P. | Private Equity Fund | $7.0M | 2 | Mar 7, 2012 |
| 452 Private Equity Access Fund, L.P. | Private Equity Fund | $4.8M | 6 | Mar 7, 2012 |
| Hsbc Real Estate Fund L.P.no longer reported | Real Estate Fund | $2.5M | 2 | Mar 7, 2012 |
| 452 Latin America Institutional Fund L.P. | Private Equity Fund | $2.4M | 5 | Mar 7, 2012 |
| Hsbc Mezzanine Partners USA, L.P.no longer reported | Private Equity Fund | $722,235 | 2 | Mar 7, 2012 |
| 452 Latin America Partners L.P. | Private Equity Fund | $193,839 | 6 | Mar 7, 2012 |
| Dv Investor LLCno longer reported | Real Estate Fund | $0 | 0 | Mar 7, 2012 |
| Am Investor LLCno longer reported | Real Estate Fund | $0 | 0 | Mar 7, 2012 |
| Hsbc Equity Partners USA LP | Private Equity Fund | $0 | 2 | Mar 7, 2012 |
| Hsbc Real Estate Mezzanine Partners USA, L.P.no longer reported | Real Estate Fund | $0 | 0 | Mar 7, 2012 |
| Hsbc Real Estate Equity Partners USA, L.P.no longer reported | Real Estate Fund | $0 | 2 | Mar 7, 2012 |
| Lv Investor LLCno longer reported | Real Estate Fund | $0 | 0 | Mar 7, 2012 |
| Hsbc USA Rutland Investors I, L.P.no longer reported | Private Equity Fund | $0 | 0 | Mar 7, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Seth P Bender · General Counselcontrolsince 11/2021 · owns less than 5%
- Sara Faye Buscaglia · Director Officercontrolsince 10/2020 · owns less than 5%
- Trevor C Chambers · Chief Financial Officer/Principal Financial Officercontrolsince 06/2023 · owns less than 5%
- John Farrell · Head Of Operations/Principal Operations Officercontrolsince 02/2022 · owns less than 5%
- Jason Ryan Henderson · President/Ceo/Directorcontrolsince 10/2020 · owns less than 5%
- Oresta I Mehta · Directorcontrolsince 08/2022 · owns less than 5%
- Chintan Nayankumar Shah · Chief Financial Officer / Principal Financial Officercontrolsince 03/2026 · owns less than 5%
- John L Weitzer · Chief Compliance Officer - Bdcontrolsince 05/2024 · owns less than 5%
- Ian G Shaw · Managing Director, Head Of US Wpb Compliance And Chief Compliance Officer Of Riasince 01/2024 · owns less than 5%
Entity owners
- Hsbc Markets (USA), Inc. · Parentdirect · owns 75% or more
- Hsbc Holdings Plc · Ultimate Parent Companyindirect · owns 75% or more of Hsbc Overseas Holdings (Uk) Limited · public reporting company
- Hsbc Investments (North America) Inc. · Holding Companyindirect · owns 75% or more of Hsbc Markets (USA) Inc.
- Hsbc North America Holdings Inc. · Holding Companyindirect · owns 75% or more of Hsbc Investments (North America) Inc.
- Hsbc Overseas Holdings (Uk) Limited · Holding Companyindirect · owns 75% or more of Hsbc North America Holdings Inc.
Related persons
Schedule D 7.A
- Hsbc Bank USA, N.A.CPO or CTAcustodiann
- Hsbc Global Asset Management (USA) Inc.investment adviserbanknRAUM $157B
Advisers that list Hsbc Securities (USA) Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 132 | 21 | 2 | ||
| Buffalo, Ny | 63 | 10 | 1 | ||
| Miami, Fl | 50 | 8 | 4 | 1 | |
| Beverly Hills, Ca | 24 | 5 | 2 | ||
| San Francisco, Ca | 21 | 7 | 1 | ||
| Brooklyn, Ny | 16 | 0 | 0 | ||
| Irvine, Ca | 14 | 1 | 1 | ||
| Fremont, Ca | 14 | 1 | 2 | ||
| Amherst, Ny | 13 | 1 | 0 | ||
| New Hyde Park, Ny | 12 | 0 | 0 | ||
| Arcadia, Ca | 11 | 1 | 1 | ||
| Cupertino, Ca | 10 | 0 | 1 | ||
| Bellevue, Wa | 8 | 3 | 1 | ||
| Tysons, Va | 8 | 1 | 1 | ||
| Aventura, Fl | 8 | 1 | 0 | ||
| New York City, Ny | 7 | 2 | 2 | ||
| Seattle, Wa | 7 | 1 | 1 | ||
| Scarsdale, Ny | 7 | 1 | 1 | ||
| Chatham, Nj | 7 | 0 | 0 | ||
| Washington Dc, Dc | 6 | 3 | 3 |
Offices
Schedule D 1.F, the 25 largest
- Depew, NY25 employees
- Depew, NY23 employees
- New York, NY17 employees
- Brooklyn, NY17 employees
- Irvine, CA15 employees
- Arcadia, CA15 employees
- New York, NY15 employees
- Miami, FL14 employees
- San Francisco, CA11 employees
- Cupertino, CA10 employees
- New Hyde Park, NY10 employees
- Beverly Hills, CA10 employees
- Aventura, FL9 employees
- Fremont, CA9 employees
- Flushing, NY9 employees
- New York, NY9 employees
- Scarsdale, NY8 employees
- Virginia, WA8 employees
- Bellevue, WA7 employees
- Chatham, NJ7 employees
- New York, NY6 employees
- Seattle, WA5 employees
- New York, NY5 employees
- Chicago, IL5 employees
- Washington, DC4 employees
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 3, 2026HENDERSON, JASON RYAN (PRESIDENT/CEO/DIRECTOR) left Schedule A between the filings of 2024-06-04 and 2026-08-03peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 3, 2026SHAH, CHINTAN NAYANKUMAR (CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER) appeared on Schedule A between the filings of 2024-06-04 and 2026-08-03peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 3, 2026WEITZER, JOHN L (CHIEF COMPLIANCE OFFICER - BD) left Schedule A between the filings of 2024-06-04 and 2026-08-03peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 3, 2026CHAMBERS, TREVOR C (CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER) left Schedule A between the filings of 2024-06-04 and 2026-08-03peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 3, 2026BENDER, SETH P (GENERAL COUNSEL) left Schedule A between the filings of 2024-06-04 and 2026-08-03peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 3, 2026FARRELL, JOHN (HEAD OF OPERATIONS/PRINCIPAL OPERATIONS OFFICER) left Schedule A between the filings of 2024-06-04 and 2026-08-03peers: affiliated wealth managers, $1B to $5B (56)
- control person changedChange between filings · filing Aug 3, 2026MEHTA, ORESTA I (DIRECTOR) left Schedule A between the filings of 2024-06-04 and 2026-08-03peers: affiliated wealth managers, $1B to $5B (56)
- advisor count surgeChange between filings · filing Apr 15, 2026advisory representatives (Item 5.B.3) moved from 108.0 to 199.0 (+84.0%) between the annual amendments of 2025-04-21 and 2026-04-15; the peer median change was 0.0% (50 comparable advisers, 98.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (50) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 12,180 to 12,108Jan 21, 2026 to Mar 31, 2026
- Advisory employees · 376 to 402Jan 21, 2026 to Mar 31, 2026
- BD registered reps · 343 to 365Jan 21, 2026 to Mar 31, 2026
- Corporate clients · 15 to 27Jan 21, 2026 to Mar 31, 2026
- HNW clients · 1,592 to 1,791Jan 21, 2026 to Mar 31, 2026
- Individual clients · 10,533 to 10,254Jan 21, 2026 to Mar 31, 2026
- Pension plan clients · 10 to 8Jan 21, 2026 to Mar 31, 2026
- Pooled vehicle clients · 30 to 28Jan 21, 2026 to Mar 31, 2026
- Assets in custody · $3.3B to $3.9BJan 21, 2026 to Mar 31, 2026
- Employees · 473 to 490Jan 21, 2026 to Mar 31, 2026
- Financial planning clients · to 0Jan 21, 2026 to Mar 31, 2026
- State-registered IARs · 108 to 199Jan 21, 2026 to Mar 31, 2026
- Other offices · 63 to 58Jan 21, 2026 to Mar 31, 2026
- Private funds · 9 to 8Jan 21, 2026 to Mar 31, 2026
- Discretionary RAUM · $493M to $825MJan 21, 2026 to Mar 31, 2026
- HNW RAUM · $1.2B to $1.6BJan 21, 2026 to Mar 31, 2026
- Individual RAUM · $1.9B to $2.1BJan 21, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $2.7B to $3.0BJan 21, 2026 to Mar 31, 2026
- Pension RAUM · $6.5M to $5.0MJan 21, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $88.1M to $88.0MJan 21, 2026 to Mar 31, 2026
- RAUM · $3.2B to $3.8BJan 21, 2026 to Mar 31, 2026
- Wrap assets (manager) · $2.7B to $3.2BJan 21, 2026 to Mar 31, 2026
- Wrap assets (sponsor) · $3.2B to $3.8BJan 21, 2026 to Mar 31, 2026
- Financial planning clients · unset to Jun 16, 2025 to Jul 23, 2025
- Accounts · 12,389 to 12,180Jan 31, 2025 to Apr 21, 2025
- Advisory employees · 340 to 376Jan 31, 2025 to Apr 21, 2025
- BD registered reps · 314 to 343Jan 31, 2025 to Apr 21, 2025
- Corporate clients · 18 to 15Jan 31, 2025 to Apr 21, 2025
- HNW clients · 1,230 to 1,592Jan 31, 2025 to Apr 21, 2025
- Individual clients · 11,098 to 10,533Jan 31, 2025 to Apr 21, 2025
- Pension plan clients · 11 to 10Jan 31, 2025 to Apr 21, 2025
- Pooled vehicle clients · 32 to 30Jan 31, 2025 to Apr 21, 2025
- Assets in custody · $3.1B to $3.3BJan 31, 2025 to Apr 21, 2025
- Employees · 507 to 473Jan 31, 2025 to Apr 21, 2025
- Other offices · 62 to 63Jan 31, 2025 to Apr 21, 2025
- Discretionary RAUM · $378M to $493MJan 31, 2025 to Apr 21, 2025
- HNW RAUM · $938M to $1.2BJan 31, 2025 to Apr 21, 2025
- Individual RAUM · $2.0B to $1.9BJan 31, 2025 to Apr 21, 2025
- Non-discretionary RAUM · $2.6B to $2.7BJan 31, 2025 to Apr 21, 2025
- Pension RAUM · $8.5M to $6.5MJan 31, 2025 to Apr 21, 2025
Signals
60 dated events
- Christopher Salazar added a ND registration at Hsbc Securities (Usa) Inc.Sep 14, 2026 · New state registration · fact
- Christopher Salazar added a DC registration at Hsbc Securities (Usa) Inc.Sep 9, 2026 · New state registration · fact
- Christopher Salazar added a GA registration at Hsbc Securities (Usa) Inc.Sep 3, 2026 · New state registration · fact
- Christopher Salazar added a ME registration at Hsbc Securities (Usa) Inc.Sep 3, 2026 · New state registration · fact
- Christopher Salazar added a NM registration at Hsbc Securities (Usa) Inc.Sep 3, 2026 · New state registration · fact
- Christopher Salazar added a UT registration at Hsbc Securities (Usa) Inc.Sep 3, 2026 · New state registration · fact
- Christopher Salazar added a VI registration at Hsbc Securities (Usa) Inc.Sep 3, 2026 · New state registration · fact
- Christopher Salazar added a AL registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a AK registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a DE registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a IA registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a KS registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a MD registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a MN registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a MT registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a NE registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a NC registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a PR registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Christopher Salazar added a TX registration at Hsbc Securities (Usa) Inc.Sep 2, 2026 · New state registration · fact
- Gregg Eisenstein left Hsbc Securities (Usa) Inc. for Lpl Financial Llc (registered 2026-07-20)Aug 11, 2026 · Advisor changed firm · fact
- David Manjarres left Hsbc Securities (Usa) Inc. for J.P. Morgan Securities Llc (registered 2026-07-14)Jul 16, 2026 · Advisor changed firm · fact
- Angela Marie Sebastiano left Hsbc Securities (Usa) Inc. for Morgan Stanley (registered 2026-06-30)Jul 1, 2026 · Advisor changed firm · fact
- Samah Adem left Hsbc Securities (Usa) Inc. for Wells Fargo Advisors (registered 2026-07-28)Jun 18, 2026 · Advisor changed firm · fact
- Yali Pan Sheneman left Hsbc Securities (Usa) Inc. for Transamerica Financial Advisors, Llc (registered 2026-06-25)Jun 16, 2026 · Advisor changed firm · fact
- Jason P Oreilly left Hsbc Securities (Usa) Inc. for Lpl Financial Llc (registered 2026-06-15)Jun 16, 2026 · Advisor changed firm · fact
- Andrew Soliman left Hsbc Securities (Usa) Inc. for Lpl Financial Llc (registered 2026-05-04)May 14, 2026 · Advisor changed firm · fact
- Christine Prakash left Hsbc Securities (Usa) Inc. for Lpl Financial Llc (registered 2026-08-21)Apr 17, 2026 · Advisor changed firm · fact
- Hsbc Securities (Usa) Inc. reported 58 offices beyond its principal office, down from 63 (2026-01-21 to 2026-03-31)Mar 31, 2026 · Office count change · derived
- Hsbc Securities (Usa) Inc. reported 199 state-registered advisory representatives, up from 108 (2026-01-21 to 2026-03-31)Mar 31, 2026 · Advisor headcount change · derived
- 2 advisors left Merrill Lynch, Pierce, Fenner & Smith Incorporated (New York, NY) for Hsbc Securities (Usa) Inc. within 2 daysFeb 17, 2026 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
- Hsbc Securities (USA) Inc. · Independent Sponsorsshared crd · capital_provider
- Hsbc Securities (USA) Inc. · Private Equityshared crd · organization
- Hsbc Securities (USA) Inc. · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- US.HSBC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-525-2879reportedpublic record, Form ADV, Aug 3, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $10.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Hsbc Securities (USA) Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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