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

Deutsche Bank Securities Inc.

No RAUM reportedNew York, New YorkCRD 2525SEC 801-9638websiteIAPD
Latest filing Sep 10, 2026
First filing on the tape Nov 17, 2011 · 238 filings
SEC status approved since Nov 12, 1973
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,743
134 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
238 filings and snapshots on the tape
RAUM$0 as of Jul 14, 2026
Mar 30, 2012$5.9B then
HNW client RAUM$8.9M as of Mar 30, 2023
Mar 29, 2018$1.0M then
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Mar 28, 2013347 then
Employees (5.A)1,743 as of Jul 14, 2026
Mar 28, 20134,157 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 10, 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)
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1195.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
  • Christopher Leonard · Chief Executive Officer & Presidentcontrol
    since 03/2024 · owns less than 5%
  • Tiberio Massaro · Director/Chief Financial Officer/Finopcontrol
    since 02/2015 · owns less than 5%
  • Anthony Stucchio · Chief Operations Officer And Directorcontrol
    since 04/2009 · owns less than 5%
  • Jason Anthony Monteiro · Chief Compliance Officer
    since 05/2024 · owns less than 5%
  • Gleennia T Napper · Chief Compliance Officer For Investment Adviser
    since 05/2024 · owns less than 5%
  • Dominick III Petruccelli · Chief Risk Officer
    since 10/2024 · owns less than 5%
  • David Santore · Chief Legal Officer
    since 09/2024 · owns less than 5%
Entity owners
  • Db U.S. Financial Markets Holding Corporation · Stockholder
    direct · owns 75% or more
  • Db USA Corporation · Shareholder
    indirect · owns 75% or more of Db U.S. Financial Markets Holding Corporation
  • Deutsche Bank Ag · Shareholder
    indirect · owns 75% or more of Db USA Corporation · public reporting company
Related persons
Schedule D 7.A
Advisers that list Deutsche Bank Securities Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Danbury, Ct000
East Rockaway, Ny000
Jacksonville, Fl000
Madison, Nj000
Mahwah, Nj000
Merrick, Ny000
Miami, Fl000
New York, Ny · principal000
Saint Johns, Fl000
San Francisco, Ca000
Scarsdale, Ny000
Stony Brook, Ny000
Offices
Schedule D 1.F, the 25 largest
  • San Francisco, CA5 employees
  • Jacksonville, FL5 employees
  • Boston, MA4 employees
What changed
consecutive filings, newest first
  • Accounts · 0.0 to unset
    Jul 14, 2026 to Sep 10, 2026
  • Financial planning clients · 0 to 0
    Jul 14, 2026 to Sep 10, 2026
  • Discretionary RAUM · 0.0 to unset
    Jul 14, 2026 to Sep 10, 2026
  • Non-discretionary RAUM · 0.0 to unset
    Jul 14, 2026 to Sep 10, 2026
  • RAUM · 0.0 to unset
    Jul 14, 2026 to Sep 10, 2026
  • Succession · false to unset
    Jul 14, 2026 to Sep 10, 2026
  • Advisory employees · 146 to 134
    Dec 17, 2025 to Mar 30, 2026
  • BD registered reps · 1,321 to 1,195
    Dec 17, 2025 to Mar 30, 2026
  • Employees · 1,788 to 1,743
    Dec 17, 2025 to Mar 30, 2026
  • Financial planning clients · 0 to 0
    Aug 28, 2025 to Nov 7, 2025
  • Advisory employees · 149 to 146
    Feb 27, 2025 to May 1, 2025
  • BD registered reps · 1,304 to 1,321
    Feb 27, 2025 to May 1, 2025
  • Charity clients · unset to 0.0
    Feb 27, 2025 to May 1, 2025
  • HNW clients · unset to 0.0
    Feb 27, 2025 to May 1, 2025
  • Pension plan clients · unset to 0.0
    Feb 27, 2025 to May 1, 2025
  • Pooled vehicle clients · unset to 0.0
    Feb 27, 2025 to May 1, 2025
  • Employees · 1,664 to 1,788
    Feb 27, 2025 to May 1, 2025
  • Accounts · unset to 0.0
    Dec 23, 2024 to Feb 27, 2025
  • Discretionary RAUM · unset to 0.0
    Dec 23, 2024 to Feb 27, 2025
  • Non-discretionary RAUM · unset to 0.0
    Dec 23, 2024 to Feb 27, 2025
  • RAUM · unset to 0.0
    Dec 23, 2024 to Feb 27, 2025
  • Corporate clients · 8 to 0
    Jun 7, 2024 to Jun 26, 2024
  • Accounts · 15.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • Advisory employees · 169 to 149
    Mar 4, 2024 to Mar 25, 2024
  • Advisory activities · 5 to 1
    Mar 4, 2024 to Mar 25, 2024
  • BD registered reps · 1,218 to 1,304
    Mar 4, 2024 to Mar 25, 2024
  • HNW clients · 7.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • Assets in custody · 73185081.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • Custody of client assets · true to false
    Mar 4, 2024 to Mar 25, 2024
  • Employees · 1,585 to 1,664
    Mar 4, 2024 to Mar 25, 2024
  • State-registered IARs · 76 to 0
    Mar 4, 2024 to Mar 25, 2024
  • Other offices · 1 to 3
    Mar 4, 2024 to Mar 25, 2024
  • Discretionary RAUM · 0.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • HNW RAUM · 8854470.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • Non-discretionary RAUM · 21348952.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • RAUM · 21348952.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • Wrap assets (manager) · 0.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 4, 2024 to Mar 25, 2024
  • Accounts · 24 to 15
    Mar 21, 2023 to Mar 30, 2023
  • Advisory employees · 149 to 169
    Mar 21, 2023 to Mar 30, 2023
Signals
56 dated events
  • Charles Erwin Jr Green (Director) no longer on Schedule A of Deutsche Bank Securities Inc. (listed 2024-10-02, absent 2024-11-19)
    Nov 19, 2024 · Control person left · inference
  • James Edward Terris Davies (Chief Executive Officer & President) no longer on Schedule A of Deutsche Bank Securities Inc. (listed 2024-03-26, absent 2024-03-28)
    Mar 28, 2024 · Control person left · inference
  • Christopher Leonard (Chief Executive Officer & President) appeared on Schedule A of Deutsche Bank Securities Inc.
    Mar 28, 2024 · Control person joined · fact
  • Deutsche Bank Securities Inc. reported 0 state-registered advisory representatives, down from 76 (2024-03-04 to 2024-03-25)
    Mar 25, 2024 · Advisor headcount change · derived
  • Jeffrey B Rait left Deutsche Bank Securities Inc. for Citigroup Global Markets Inc. (registered 2025-11-12)
    Dec 21, 2023 · Advisor changed firm · fact
  • Lindsay M. Mccracken left Deutsche Bank Securities Inc. for Wells Fargo Advisors (registered 2024-08-30)
    Dec 20, 2023 · Advisor changed firm · fact
  • Kevin Nagib Cordova Celleri left Deutsche Bank Securities Inc. for Wells Fargo Advisors (registered 2024-04-04)
    Dec 20, 2023 · Advisor changed firm · fact
  • Daniel Simon Lizaso Trejo left Deutsche Bank Securities Inc. for Bbva Global Wealth Advisors, Inc. (registered 2025-07-07)
    Dec 20, 2023 · Advisor changed firm · fact
  • Amish S Jhaveri left Deutsche Bank Securities Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-11-17)
    Dec 20, 2023 · Advisor changed firm · fact
  • Shelly S Wong left Deutsche Bank Securities Inc. for Citigroup Global Markets Inc. (registered 2026-07-17)
    Dec 20, 2023 · Advisor changed firm · fact
  • Erik Donohue left Deutsche Bank Securities Inc. for Citigroup Global Markets Inc. (registered 2025-05-27)
    Dec 20, 2023 · Advisor changed firm · fact
  • Joshua M Underwood left Deutsche Bank Securities Inc. for J.P. Morgan Securities Llc (registered 2025-05-06)
    Dec 20, 2023 · Advisor changed firm · fact
  • Rahul Varshneya left Deutsche Bank Securities Inc. for Morgan Stanley (registered 2025-01-10)
    Dec 20, 2023 · Advisor changed firm · fact
  • Jeffrey John Whalen left Deutsche Bank Securities Inc. for Cove Private Wealth, Llc (registered 2024-10-07)
    Dec 19, 2023 · Advisor changed firm · fact
  • Mary Holland Nader left Deutsche Bank Securities Inc. for Mary & Pip (registered 2025-11-21)
    Dec 19, 2023 · Advisor changed firm · fact
  • Lori B Jackson left Deutsche Bank Securities Inc. for Cove Private Wealth, Llc (registered 2026-08-17)
    Dec 18, 2023 · Advisor changed firm · fact
  • Carlos A Ferreira left Deutsche Bank Securities Inc. for Itau International Securities Inc. (registered 2024-08-01)
    Dec 18, 2023 · Advisor changed firm · fact
  • Olga Pankratova left Deutsche Bank Securities Inc. for J.P. Morgan Securities Llc (registered 2024-08-22)
    Dec 18, 2023 · Advisor changed firm · fact
  • Santo S Vicenzino left Deutsche Bank Securities Inc. for Cove Private Wealth, Llc (registered 2026-07-18)
    Dec 18, 2023 · Advisor changed firm · fact
  • 3 advisors left Deutsche Bank Securities Inc. (East Rockaway, NY) for Cove Private Wealth, LLC a day apart
    Dec 18, 2023 · Team lift-out · derived
  • Peter Mcevoy left Deutsche Bank Securities Inc. for Eagle Strategies Llc (registered 2026-01-14)
    Dec 15, 2023 · Advisor changed firm · fact
  • Billy R Obregon left Deutsche Bank Securities Inc. for Vontobel Swiss Financial Advisers (registered 2025-11-07)
    Dec 15, 2023 · Advisor changed firm · fact
  • Palvinder Mattu left Deutsche Bank Securities Inc. for J.P. Morgan Securities Llc (registered 2023-09-28)
    Sep 18, 2023 · Advisor changed firm · fact
  • Caroline Coen left Deutsche Bank Securities Inc. for J.P. Morgan Securities Llc (registered 2023-08-10)
    Jul 11, 2023 · Advisor changed firm · fact
  • Zbynek Kozelsky left Deutsche Bank Securities Inc. for Ashton Thomas Securities, Llc (registered 2025-04-23)
    Jun 8, 2023 · Advisor changed firm · fact
  • Tina Tzu-Yi Tsao left Deutsche Bank Securities Inc. for Transamerica Financial Advisors, Llc (registered 2025-02-18)
    Apr 7, 2023 · Advisor changed firm · fact
  • David Avila-Angarita left Deutsche Bank Securities Inc. for Citigroup Global Markets Inc. (registered 2023-04-04)
    Apr 5, 2023 · Advisor changed firm · fact
  • Deutsche Bank Securities Inc. reported 76 state-registered advisory representatives, up from 62 (2023-03-21 to 2023-03-30)
    Mar 30, 2023 · Advisor headcount change · derived
  • Antonio C. Barbosa left Deutsche Bank Securities Inc. for Raymond James & Associates, Inc. (registered 2023-04-07)
    Mar 22, 2023 · Advisor changed firm · fact
  • Rui Maria Forcada left Deutsche Bank Securities Inc. for Raymond James & Associates, Inc. (registered 2023-03-28)
    Mar 15, 2023 · 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
Website
DB.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
212-250-2500reportedpublic record, Form ADV, Sep 10, 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
No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

Deutsche Bank Securities 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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