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

Bny Mellon Securities Corporation

Other adviserNew York, New YorkCRD 231SEC 801-54739websiteIAPD
Latest filing Jun 17, 2026
First filing on the tape Dec 21, 2011 · 70 filings
SEC status approved since Jul 24, 1997
RAUM
$8.4B
reported, Item 5.F
Discretionary
8.3%
of RAUM
Private clients
15%
$1.3B individuals and HNW
Advisors
64
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
253
91 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
70 filings and snapshots on the tape
RAUM$8.4B as of Jun 17, 2026
Mar 29, 2012$1.1B then
HNW client RAUM$420M as of Jun 17, 2026
Mar 29, 2018$315M then
State-registered IARs (5.B.3)200 as of Jun 17, 2026
Mar 29, 20120 then
Employees (5.A)253 as of Jun 17, 2026
Mar 28, 2013628 then
Private funds: no history
RAUM +18% over the last fiscal year+17% a year over threeIARs 207 to 200offices 4 to 5
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
  • 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)
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$134MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
51derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
8.3%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
10.5derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
-3.4%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program
$1.2BreportedItem 5.I
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • 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$856M54%
  • High-net-worth individuals$420M26%
  • Corporations and businesses$264M17%
  • Charitable organizations$31.1M2.0%
  • Pension and profit-sharing plans$18.1M1.1%
Individual clients
2,997reported
HNW clients
228reported
Pension plan clients
30reported
Charitable clients
22reported
Accounts
3,732reported
Financial planning clients
0reported
Wrap fee programs
$1.2B sponsored, $7.2B managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.15 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=true bd_reps=162.0derived
Advisors registered through the firm
64 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Sean O'Neil RobnettWest Palm Beach, Fl Dec 1, 199833 y0
Susan ReedNew York, Ny Nov 18, 200335 y0
George TashieNew York, Ny Nov 18, 200337 y0
John Alan MussallemNew York, Ny Mar 16, 200535 y0
Matthew William HamiltonNew York, Ny May 23, 200721 y0
Vincent Joseph ZilnickiRedding, Ct Apr 18, 200820 y0
Jared Christian AmatuzzoLincroft, Nj Sep 8, 200820 y0
Michael John HoldenCertified Financial PlannerWest Palm Beach, Fl Aug 11, 200935 y4
Mikhael David HalperScarsdale, Ny Nov 5, 200926 y3
Peter Jeremy SobelCertified Financial PlannerUniondale, Ny Jun 3, 201038 y1
Matthew John SkapyakNew York, Ny Jun 23, 201016 y0
Brian Douglas JonesNew York, Ny Oct 12, 201026 y3
Christine Ruth NolandNew York, Ny May 14, 201220 y0
Michael Mccarthy HurleyNaples, Fl Jul 20, 201217 y2
Alex Charles TynanNew York, Ny Oct 11, 201214 y0
Theresa Marie CoenNew York, Ny Jan 15, 201342 y0
Christopher Banks GrantWarwick, Ri May 14, 201330 y0
Paige Christine RaffertyDarnestown, Md Mar 6, 201431 y0
Carey Jon PenswickNew York, Ny Sep 12, 201425 y4
Michael Kevin GreenNew York, Ny Sep 25, 201427 y1
Vincent Anthony DeroseGlen Head, Ny Aug 24, 201520 y1
John A CiminoNew York, Ny Oct 16, 201515 y1
Michael Charles KopeckyWest Palm Beach, Fl Aug 25, 201712 y0
Samuel Elliott FowlerNew York, Ny Oct 13, 20179 y1
Gregory Howard ScozzariPittsburgh, Pa Jan 11, 201913 y1
Connie Crystal GorczycaNewport Beach, Ca Mar 14, 201913 y3
Christopher Sean HazeltonHarrison, Ny Mar 18, 201922 y0
John Joseph LavinWest Sayville, Ny Jul 12, 201911 y1
Kent Charles MoegerleCertified Financial PlannerNew York, Ny Sep 4, 202024 y4
Matthew HutchinsonSarasota, Fl Sep 30, 202011 y0
Thomas Joel CademartoriSouthlake, Tx Aug 20, 202124 y4
Rebecca May HoodNew York, Ny Dec 16, 202123 y6
George N SekasNew York, Ny Jul 27, 202211 y1
Christian Peter MccormickNew York, Ny Sep 12, 202210 y1
Rishabh ShuklaLucknow Nov 23, 202210 y1
Michael John MurphyEast Northport, Ny Mar 14, 202315 y0
Lauren TufanoSarasota, Fl May 18, 202314 y0
Payton Veronica GabrielNew York, NyAug 17, 202310 y1
Paul David PastoreUniondale, Ny Sep 12, 202330 y0
Rachel Eileen DelevanteBoston, Ma Jan 10, 202419 y1
All 64 advisors at Bny Mellon Securities Corporation
Advisor movement
2 left, 9 joined in 12 months
net +7 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 3.1% of current headcount13 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
  • Kenneth James Bradle · President And Directorcontrol
    since 05/2009 · owns less than 5%
  • David John Dipetrillo · Executive Vice President And Directorcontrol
    since 01/2021 · owns less than 5%
  • Irene Despina Papadoulis · Exectuve Vice President And Directorcontrol
    since 03/2023 · owns less than 5%
  • Robert Brian Saccone · Chief Compliance Officer (Brokerdealer)control
    since 09/2023 · owns less than 5%
  • Hal Robert Marquit · Rosfp (Srop/Crop) & Municipal Securities Principal
    since 05/2018 · owns less than 5%
  • Gregory John Pasquale · Chief Financial Officer & Treasurer & Finop
    since 01/2021 · owns less than 5%
  • John Squillace · Chief Compliance Officer (Investment Advisory Business)
    since 01/2016 · owns less than 5%
Entity owners
  • Bny Mellon Investment Adviser, Inc. · Direct Owner
    direct · owns 75% or more
  • Bny Mellon Ihc, LLC · Owner
    indirect · owns 75% or more of Bank Of New York Mellon Corporation
  • Mbc Investment Corporation · Owner
    indirect · owns 75% or more of Bny Mellon Investment Adviser, Inc.
  • The Bank Of New York Mellon Corporation · Owner
    indirect · owns 75% or more of Mbc Investment Corporation · public reporting company
Related persons
Schedule D 7.A
  • Arx Investimentos Ltda
    investment adviserbanknRAUM $1.9B
  • Bny Mellon Advisors, Inc.
    investment advisernRAUM $33B
  • Bny Mellon Alocacao De Patrimonio Ltda
    investment advisern
  • Bny Mellon Asset Management Canada Ltd.
    broker-dealerinvestment adviserpooled vehicle sponsorn
  • Bny Mellon Banco S.A.
    n
  • Bny Mellon Capital Markets, LLC
    broker-dealern
  • Bny Mellon Etf Investment Adviser, LLC
    investment adviserbanknRAUM $11B
  • Bny Mellon Fund Management (Luxembourg) S.A.
    broker-dealerinvestment adviserpooled vehicle sponsorn
  • Bny Mellon Fund Managers Limited
    pooled vehicle sponsorn
  • Bny Mellon Im Korea Limited
    investment advisern
  • Bny Mellon Im Taiwan Securities Investment Consulting Co., Ltd
    investment advisern
  • Bny Mellon International Management Limited
    investment adviserpooled vehicle sponsorn
  • Bny Mellon Investment Adviser, Inc.
    investment adviserbanknRAUM $419B
  • Bny Mellon Investment Management (Shanghai) Limited
    investment advisern
  • Bny Mellon Investment Management Emea Limited
    broker-dealerinvestment advisern
  • Bny Mellon Investment Management Hong Kong Limited
    broker-dealerinvestment advisern
  • Bny Mellon Investment Management Japan Limited
    investment advisernRAUM $32B
  • Bny Mellon Investment Management Singapore Pte. Limited
    investment advisern
  • Bny Mellon Investment Servicing Trust Company
    n
  • Bny Mellon National Association
    investment advisern
  • Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) Sa
    broker-dealerinvestment advisern
  • Bny Mellon Trust Company Of Illinois
    n
  • Bny Mellon Trust Of Delaware
    investment advisern
  • Cibc Mellon Global Securities Services Company
    n
  • Cibc Mellon Trust Company
    n
  • Insight Investment Australia Pty Limited
    investment advisern
  • Insight Investment Funds Management Limited
    investment adviserpooled vehicle sponsorn
  • Insight Investment
    investment adviserbanknRAUM $3.0B
  • Insight Investment Management (Global) Limited
    investment adviserbankn
  • Insight Investment Management Europe Limited
    pooled vehicle sponsorn
Advisers that list Bny Mellon Securities Corporation as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal57100
Uniondale, Ny500
Boston, Ma510
West Palm Beach, Fl500
Pittsburgh, Pa400
Sarasota, Fl300
Naples, Fl200
Lake Mary, Fl200
Boca Raton, Fl200
Newport Beach, Ca200
San Francisco, Ca210
Bayonne, Nj001
Northville, Mi000
Wantagh, Ny000
Brooklyn, Ny001
Woodinville, Wa000
Bay Shore, Ny000
Offices
Schedule D 1.F, the 25 largest
  • Uniondale, NY73 employees
  • Boca Raton, FL4 employees
  • New York, NY2 employees
  • Lake Mary, FL2 employees
What changed
consecutive filings, newest first
  • Accounts · 3,823 to 3,732
    Jan 23, 2026 to Mar 31, 2026
  • BD registered reps · 217 to 162
    Jan 23, 2026 to Mar 31, 2026
  • Charity clients · 21 to 22
    Jan 23, 2026 to Mar 31, 2026
  • Corporate clients · 530 to 441
    Jan 23, 2026 to Mar 31, 2026
  • HNW clients · 192 to 228
    Jan 23, 2026 to Mar 31, 2026
  • Individual clients · 3,047 to 2,997
    Jan 23, 2026 to Mar 31, 2026
  • Pension plan clients · 26 to 30
    Jan 23, 2026 to Mar 31, 2026
  • Employees · 306 to 253
    Jan 23, 2026 to Mar 31, 2026
  • State-registered IARs · 207 to 200
    Jan 23, 2026 to Mar 31, 2026
  • Other offices · 4 to 5
    Jan 23, 2026 to Mar 31, 2026
  • Discretionary RAUM · $701M to $703M
    Jan 23, 2026 to Mar 31, 2026
  • HNW RAUM · $352M to $420M
    Jan 23, 2026 to Mar 31, 2026
  • Individual RAUM · $820M to $856M
    Jan 23, 2026 to Mar 31, 2026
  • Non-discretionary RAUM · $6.4B to $7.7B
    Jan 23, 2026 to Mar 31, 2026
  • Pension RAUM · $15.0M to $18.1M
    Jan 23, 2026 to Mar 31, 2026
  • RAUM · $7.1B to $8.4B
    Jan 23, 2026 to Mar 31, 2026
  • Wrap assets (manager) · $6.0B to $7.2B
    Jan 23, 2026 to Mar 31, 2026
  • Wrap assets (sponsor) · $1.1B to $1.2B
    Jan 23, 2026 to Mar 31, 2026
  • Financial planning clients · 0 to 0
    Apr 4, 2025 to Oct 7, 2025
  • Accounts · 3,853 to 3,823
    Feb 3, 2025 to Apr 4, 2025
  • Advisory employees · 94 to 91
    Feb 3, 2025 to Apr 4, 2025
  • BD registered reps · 219 to 217
    Feb 3, 2025 to Apr 4, 2025
  • Charity clients · 30 to 21
    Feb 3, 2025 to Apr 4, 2025
  • Corporate clients · 568 to 530
    Feb 3, 2025 to Apr 4, 2025
  • HNW clients · 162 to 192
    Feb 3, 2025 to Apr 4, 2025
  • Individual clients · 3,086 to 3,047
    Feb 3, 2025 to Apr 4, 2025
  • Pension plan clients · 2 to 26
    Feb 3, 2025 to Apr 4, 2025
  • Employees · 303 to 306
    Feb 3, 2025 to Apr 4, 2025
  • State-registered IARs · 210 to 207
    Feb 3, 2025 to Apr 4, 2025
  • Discretionary RAUM · $697M to $701M
    Feb 3, 2025 to Apr 4, 2025
  • HNW RAUM · $296M to $352M
    Feb 3, 2025 to Apr 4, 2025
  • Individual RAUM · $789M to $820M
    Feb 3, 2025 to Apr 4, 2025
  • Non-discretionary RAUM · $5.4B to $6.4B
    Feb 3, 2025 to Apr 4, 2025
  • Pension RAUM · $676,058 to $15.0M
    Feb 3, 2025 to Apr 4, 2025
  • RAUM · $6.1B to $7.1B
    Feb 3, 2025 to Apr 4, 2025
  • Wrap assets (manager) · $5.1B to $6.0B
    Feb 3, 2025 to Apr 4, 2025
  • Wrap assets (sponsor) · $985M to $1.1B
    Feb 3, 2025 to Apr 4, 2025
  • Accounts · 3,794 to 3,853
    Sep 25, 2023 to Mar 28, 2024
  • Advisory employees · 100 to 94
    Sep 25, 2023 to Mar 28, 2024
  • BD registered reps · 247 to 219
    Sep 25, 2023 to Mar 28, 2024
Signals
60 dated events
  • Fei Tsum added a WV registration at Bny Mellon Securities Corporation
    Sep 16, 2026 · New state registration · fact
  • Lee Ellwood no longer holds an investment adviser registration (last listed at Bny Mellon Securities Corporation on the 2026-09-14 feed)
    Sep 14, 2026 · Advisor registration ended · derived
  • Fei Tsum added a NM registration at Bny Mellon Securities Corporation
    Aug 25, 2026 · New state registration · fact
  • Fei Tsum added a ND registration at Bny Mellon Securities Corporation
    Aug 25, 2026 · New state registration · fact
  • Fei Tsum added a WY registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a KS registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a KY registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a LA registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a ME registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a MD registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a MI registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a MN registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a MS registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a MO registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a MT registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a NE registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a NV registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a NH registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a NJ registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a NY registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a NC registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a OH registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a OK registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a OR registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a PA registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a RI registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a SC registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a SD registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a TX registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
  • Fei Tsum added a UT registration at Bny Mellon Securities Corporation
    Aug 24, 2026 · New state registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Website
BNY.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
2129226273reportedpublic record, Form ADV, Jun 17, 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
Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$132Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

Bny Mellon Securities Corporation 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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