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
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Latest filing Aug 26, 2026
First filing on the tape Nov 7, 2011 · 571 filings
SEC status approved since Dec 8, 1978
RAUM
$1782B
reported, Item 5.F
Discretionary
25%
of RAUM
Private clients
86%
$1541B individuals and HNW
Advisors
25,477
registered through the firm on IAPD
RAUM per advisor
$69.9M
derived; firm RAUM over IAPD count
Employees
32,960
25,721 advisory (5.B.1)
Offices
3,910
beyond the principal office
Private funds
0
reported on Schedule D
History
400 filings and snapshots on the tape
RAUM$962B as of Mar 23, 2020
Feb 14, 2012$321B then
HNW client RAUM$397B as of Mar 23, 2020
Mar 26, 2018$318B then
State-registered IARs (5.B.3)26,968 as of Mar 23, 2020
Apr 1, 201324,700 then
Employees (5.A)36,383 as of Mar 23, 2020
Apr 1, 201338,700 then
Private funds: no history
RAUM +40% over the last fiscal year+18% a year over threeIARs 26,251 to 25,721offices 3,542 to 3,910
Practice profile
derived from the filing of Aug 26, 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)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $70.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $547,625derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 25%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.5derived3,911 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- -2.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $1743BreportedItem 5.I
- Custody
- $1843B, 1,841,665 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- the adviser acts as qualified custodian (9.D.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
- High-net-worth individuals$1228B69%
- Individuals$314B18%
- Corporations and businesses$131B7.4%
- Pension and profit-sharing plans$59B3.3%
- Charitable organizations$43B2.4%
- Insurance companies$5.9B0.3%
- Individual clients
- 1,269,968reported
- HNW clients
- 521,763reported
- Pension plan clients
- 17,422reported
- Charitable clients
- 6,759reported
- Accounts
- 3,253,265reported
- Financial planning clients
- reported
- Wrap fee programs
- $721B sponsored, $0 managedreported
- Custody of client assets
- $1843B for 1,841,665 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- curated wirehouse listderived
Advisors registered through the firm
25,482 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T Frye | Dallas, Tx | Feb 23, 1983 | 44 y | 0 |
| Gregory William Gardner | Miami, Fl | May 9, 1983 | 47 y | 0 |
| Titian Austin | Winter Park, Fl | May 9, 1983 | 45 y | 0 |
| John Albert Hinken | Tampa, Fl | May 9, 1983 | 47 y | 0 |
| Randy Mitchell Freedman | Tampa, Fl | May 9, 1983 | 45 y | 0 |
| Mark Clarence Carlson | Clearwater, Fl | May 9, 1983 | 44 y | 0 |
| Allan Gordon Thiessen | Sarasota, Fl | May 9, 1983 | 43 y | 0 |
| John David Kirchhoefer | Winter Park, Fl | May 9, 1983 | 56 y | 0 |
| Lawrence Charles Eaton | Delray Beach, Fl | May 9, 1983 | 51 y | 0 |
| Suzanne Jan Tudor Magee Fleming | Orlando, Fl | May 9, 1983 | 49 y | 0 |
| Albert F Schreck | Clearwater, Fl | May 9, 1983 | 46 y | 0 |
| Arthur Alan Greenfeder | Weston, Fl | May 9, 1983 | 45 y | 0 |
| Faith Sophia Heeg | Atlanta, Ga | May 9, 1983 | 48 y | 0 |
| E S Martin III | Tampa, Fl | May 9, 1983 | 45 y | 0 |
| William Marcus Beck | Tallahassee, Fl | May 9, 1983 | 46 y | 0 |
| Linda L Mcmahan | Lakeland, Fl | May 9, 1983 | 45 y | 0 |
| Bruce Arnold Chappell | Jacksonville, Fl | May 9, 1983 | 48 y | 0 |
| C T Weissing | Stuart, Fl | May 9, 1983 | 45 y | 0 |
| Lawrence Redfield Brashears | Vero Beach, Fl | May 9, 1983 | 48 y | 0 |
| William Eldredge Chambers | Ocala, Fl | May 9, 1983 | 46 y | 0 |
| Ralph Michael Byer | Plantation, Fl | May 9, 1983 | 44 y | 0 |
| Richard Weisshaut | Boca Raton, Fl | May 9, 1983 | 45 y | 0 |
| Charles Eugene Layton | Ponte Vedra Beach, Fl | May 9, 1983 | 47 y | 0 |
| Robert Sauer | Boca Raton, Fl | May 9, 1983 | 59 y | 0 |
| Arthur Bruce Barzilay | Crystal Bay, Nv | May 23, 1983 | 45 y | 0 |
| Raymond Joseph Mcgovern | Fort Walton Beach, Fl | Jul 21, 1983 | 44 y | 0 |
| Richard Thomas Phelan | Oak Brook, Il | Aug 23, 1983 | 58 y | 0 |
| Paul Jeffrey Blage | Dallas, Tx | Aug 23, 1983 | 48 y | 0 |
| Douglas Edward Crockard | Houston, Tx | Aug 23, 1983 | 53 y | 0 |
| Dodee F Crockett | Dallas, Tx | Aug 23, 1983 | 46 y | 0 |
| Harold Warren Burge | Youngsville, La | Aug 23, 1983 | 43 y | 0 |
| William Robert Biel | Saint Petersburg, Fl | Aug 23, 1983 | 46 y | 0 |
| Lois Sherman Cartwright | Dallas, Tx | Aug 23, 1983 | 44 y | 0 |
| Michael Cary Sanfield | Bloomfield Hills, Mi | Aug 23, 1983 | 46 y | 0 |
| Mark Patrick Ingram | Tulsa, Ok | Aug 23, 1983 | 47 y | 0 |
| Robert A Nelson | San Antonio, Tx | Aug 23, 1983 | 56 y | 0 |
| Michael W Bessire | Fort Worth, Tx | Aug 23, 1983 | 50 y | 0 |
| John Stratton Mathews | Beaumont, Tx | Aug 23, 1983 | 46 y | 0 |
| Nathan C Carpenter | Fort Worth, Tx | Aug 23, 1983 | 55 y | 0 |
| H William Netherton | Austin, Tx | Aug 23, 1983 | 46 y | 0 |
Advisor movement
1,540 left, 588 joined in 12 months
net -952 in 12 months314 left in 90 days214 joined in 90 daysdeparture rate 6.0% of current headcount4,587 left over 36 months
Left, latest
- Kristy L Jorgensen to Uncommon Cents InvestingSep 14, 2026 · Wirehouse to independent RIA
- Janet Elizabeth Davis to Raymond James Financial Services Advisors, IncSep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- Ava P Doney to UBS Financial Services Inc.Sep 14, 2026 · Wirehouse to wirehouse
- John Robert Hall to UBS Financial Services Inc.Sep 14, 2026 · Wirehouse to wirehouse
- Colin Gates to Ameriprise Financial Services, LLCSep 14, 2026 · Wirehouse to affiliated broker-dealer or bank
- Aaron Lee Marshall-Spitzbart to UBS Financial Services Inc.Sep 14, 2026 · Wirehouse to wirehouse
- Dirk Joseph Harris to RBC Capital Markets, LLCSep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Lisa Marie Behun to RBC Capital Markets, LLCSep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Scott Kluge to Citizens Securities, Inc.Sep 10, 2026 · Wirehouse to affiliated broker-dealer or bank
- Rachel Lashaun Justice to Pnc Wealth ManagementSep 10, 2026 · Wirehouse to affiliated broker-dealer or bank
- Daniela Maria Mabry to J.P. Morgan Securities LLCSep 9, 2026 · Wirehouse to wirehouse
- Evan Thomas Mccurry to Edward JonesSep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
- Jiachen Cai to Blackrock Investment Management, LLCSep 8, 2026 · Other
- Jan Carlo Landi to Td Private Client Wealth LLCSep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
- Kathleen Marie Kowkabany to Cary Street PartnersSep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
Joined, latest
- Antonio Joseph Bugli from LPL Financial LLCSep 16, 2026 · Affiliated broker-dealer or bank to wirehouse
- Ian A Yi from Oppenheimer & Co. Inc.Sep 16, 2026 · Affiliated broker-dealer or bank to wirehouse
- Michael J Layton from Strategic Advisers LLCSep 16, 2026 · Affiliated broker-dealer or bank to wirehouse
- Tara Juliette Kravas from Jfg Family OfficeSep 15, 2026 · RIA to wirehouse
- James Layton Jones from Equitable Advisors, LLCSep 15, 2026 · Affiliated broker-dealer or bank to wirehouse
- Luke Smith from Equitable Advisors, LLCSep 15, 2026 · Affiliated broker-dealer or bank to wirehouse
- Cody Eugene Hayworth from Edward JonesSep 15, 2026 · Affiliated broker-dealer or bank to wirehouse
- Daylen Julius Fleitman from Merit Financial AdvisorsSep 14, 2026 · Affiliated broker-dealer or bank to wirehouse
- Eric Min Wang from Transamerica Financial Advisors, LLCSep 14, 2026 · Affiliated broker-dealer or bank to wirehouse
- Binfeng Hou from Key Investment Services LLCSep 11, 2026 · Affiliated broker-dealer or bank to wirehouse
- David Samuel Marshall from UBS Financial Services Inc.Sep 10, 2026 · Wirehouse to wirehouse
- Anacristina Blandon Estrada from Morgan StanleySep 10, 2026 · Wirehouse to wirehouse
- Gayatri Arumugam from Thrivent Investment Management Inc.Sep 10, 2026 · Affiliated broker-dealer or bank to wirehouse
- Justin M Oubre from Wells Fargo AdvisorsSep 10, 2026 · Wirehouse to wirehouse
- Luke Michael Holloway from Florida Financial Advisors, LLCSep 10, 2026 · Affiliated broker-dealer or bank to wirehouse
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for UBS Financial Services Inc.Sep 14, 2026 · Bellevue, Wa
- 2 left for RBC Capital Markets, LLCSep 11, 2026 · Newport Beach, Ca
- 2 left for Wells Fargo AdvisorsSep 3, 2026 · Myrtle Beach, Sc
- 2 left for Pnc Wealth ManagementSep 1, 2026 · Tyler, Tx
- 2 left for Wells Fargo AdvisorsSep 1, 2026 · Kent, Wa
- 3 left for New Edge WealthAug 31, 2026 · Savannah, Ga
- 3 left for Morgan StanleyAug 28, 2026 · Mount Laurel, Nj
- 2 left for J.P. Morgan Securities LLCAug 21, 2026 · Chicago, Il
- 3 joined from Morgan StanleyAug 19, 2026 · Andover, Ma
- 4 joined from Strategic Advisers LLCAug 12, 2026 · Boston, Ma
- 2 joined from UBS Financial Services Inc.Aug 3, 2026 · Weehawken, Nj
- 2 joined from Equitable Advisors, LLCAug 3, 2026 · Melville, Ny
- 2 joined from Wells Fargo AdvisorsJul 31, 2026 · Charlotte, Nc
- 10 joined from Morgan StanleyJul 31, 2026 · Middleton, Ma
- 2 joined from Morgan StanleyJul 20, 2026 · Bedford, Nh
- 2 joined from Morgan StanleyJul 8, 2026 · Boulder, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nancy Monir Fahmy · Directorcontrolsince 01/2024 · owns less than 5%
- Matthew Thomas Gellene · Directorcontrolsince 09/2024 · owns less than 5%
- Lindsay Denardo Hans · State Designated Principal & Directorcontrolsince 01/2019 · owns less than 5%
- Lorna Rose Sabbia · Directorcontrolsince 05/2019 · owns less than 5%
- Eric A Schimpf · Director & Chief Executive Officer, State Designated Principalcontrolsince 04/2023 · owns less than 5%
- Syed Faruqe Alam · Chief Financial Officersince 09/2019 · owns less than 5%
- Joseph Anthony Jr Guardino · Chief Operations Officer & Finopsince 04/2015 · owns less than 5%
- David Carleton Jr Heaton · Chief Legal Officersince 05/2019 · owns less than 5%
- Michael Richard Karam · Chief Compliance Officersince 01/2024 · owns less than 5%
Entity owners
- Bac North America Holding Company · Shareholderdirect · owns 75% or more
- Bank Of America Corporation · Shareholderindirect · owns 75% or more of Nb Holdings Corporation · public reporting company
- Nb Holdings Corporation · Shareholderindirect · owns 75% or more of Bac North America Holding Company
Related persons
Schedule D 7.A
- Banc Of America Securities Asia Limitedbroker-dealern
- Bank Of America California, National Associationn
- Bank Of America Europe Designated Activity Companyn
- Bank Of America Malaysia Berhadn
- Bank Of America Merrill Lynch Banco Multiplo S.A.n
- Bank Of America Mexico, S.A., Institucion De Banca Multiplen
- Bank Of America Singapore Limitedbroker-dealern
- Bank Of America Yatirim Bank A.S.broker-dealern
- Bank Of America, National Associationbroker-dealerCPO or CTAcustodiann
- Bofa Securities Europe Sabroker-dealerCPO or CTAn
- Bofa Securities India Limitedbroker-dealertrust companyn
- Bofa Securities Japan Co., Ltd.broker-dealertrust companyinvestment companyreal estaten
- Bofa Securities Prime, Inc.broker-dealern
- Bofa Securities, Inc.broker-dealerinvestment advisertrust companyn
- Managed Account Advisors LLCinvestment adviseryRAUM $995B
- Merrill Lynch (Asia Pacific) Limitedbroker-dealern
- Merrill Lynch (Australia) Futures Limitedbroker-dealertrust companyn
- Merrill Lynch (Singapore) Pte Ltd.broker-dealertrust companycustodiann
- Merrill Lynch Argentina S.A.broker-dealertrust companyn
- Merrill Lynch Bank And Trust Company (Cayman) Limitedbroker-dealern
- Merrill Lynch Canada Inc.broker-dealertrust companyn
- Merrill Lynch Corredores De Bolsa, Spabroker-dealertrust companyn
- Merrill Lynch Equities (Australia) Limitedbroker-dealern
- Merrill Lynch Far East Limitedbroker-dealertrust companycustodiann
- Merrill Lynch Internationalbroker-dealerCPO or CTAn
- Merrill Lynch International, LLC-Seoul Branchbroker-dealertrust companyn
- Merrill Lynch Life Agency Inc. (Montana)real estatey
- Merrill Lynch Life Agency Inc. (Puerto Rico)real estatey
- Merrill Lynch Life Agency Inc. (Virgin Islands)real estatey
- Merrill Lynch Life Agency Inc. (Washington)real estatey
Advisers that list Merrill Lynch, Pierce, Fenner & Smith Incorporated 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 | 4,397 | 797 | 208 | 26 | |
| Jacksonville, Fl | 1,060 | 123 | 29 | 6 | |
| Pennington, Nj | 946 | 91 | 26 | 4 | |
| Charlotte, Nc | 748 | 121 | 25 | 4 | |
| Chicago, Il | 720 | 79 | 33 | 3 | |
| Boston, Ma | 529 | 61 | 7 | 1 | |
| Chandler, Az | 482 | 53 | 29 | 7 | |
| Houston, Tx | 473 | 36 | 22 | 2 | |
| Los Angeles, Ca | 435 | 25 | 27 | 5 | |
| Atlanta, Ga | 402 | 28 | 100 | 1 | |
| Dallas, Tx | 375 | 15 | 16 | 1 | |
| Miami, Fl | 366 | 28 | 14 | 1 | |
| Riverside, Ri | 341 | 39 | 16 | 1 | |
| Newport Beach, Ca | 314 | 24 | 15 | 3 | |
| San Francisco, Ca | 291 | 30 | 6 | 1 | |
| Melville, Ny | 254 | 17 | 22 | 3 | |
| Washington, Dc | 236 | 13 | 4 | ||
| Hunt Valley, Md | 229 | 22 | 11 | 1 | |
| Fort Worth, Tx | 219 | 48 | 13 | 2 | |
| Florham Park, Nj | 214 | 13 | 4 |
Offices
Schedule D 1.F, the 25 largest
- Pennington, NJ573 employees
- Chicago, IL509 employees
- Atlanta, GA428 employees
- Boston, MA404 employees
- New York, NY386 employees
- Jacksonville, FL366 employees
- San Francisco, CA313 employees
- New York, NY287 employees
- Houston, TX262 employees
- New York, NY262 employees
- Chandler, AZ249 employees
- Miami, FL249 employees
- Washington, DC235 employees
- Charlotte, NC233 employees
- New York, NY227 employees
- Hunt Valley, MD222 employees
- Los Angeles, CA213 employees
- Bloomfield Hills, MI212 employees
- Newport Beach, CA191 employees
- Rolling Meadows, IL174 employees
- Pasadena, CA146 employees
- Paramus, NJ142 employees
- Florham Park, NJ142 employees
- Boca Raton, FL140 employees
- Los Angeles, CA140 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 22, 2026RAUM (Item 5.F) moved from $1,271,593,679,276 to $1,781,568,171,479 (+40.0%) between the annual amendments of 2025-03-03 and 2026-04-22; the peer median change was +19.0% (16 comparable advisers, 100.0th percentile of changes)peers: wirehouses and national broker-dealer RIAs (16) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 3,085,811 to 3,253,265Feb 25, 2026 to Mar 23, 2026
- Advisory employees · 25,753 to 25,721Feb 25, 2026 to Mar 23, 2026
- BD registered reps · 26,667 to 26,599Feb 25, 2026 to Mar 23, 2026
- Charity clients · 6,297 to 6,759Feb 25, 2026 to Mar 23, 2026
- Corporate clients · 20,885 to 22,807Feb 25, 2026 to Mar 23, 2026
- HNW clients · 464,590 to 521,763Feb 25, 2026 to Mar 23, 2026
- Individual clients · 1,228,655 to 1,269,968Feb 25, 2026 to Mar 23, 2026
- Pension plan clients · 17,544 to 17,422Feb 25, 2026 to Mar 23, 2026
- Assets in custody · $1569B to $1843BFeb 25, 2026 to Mar 23, 2026
- Employees · 33,689 to 32,960Feb 25, 2026 to Mar 23, 2026
- State-registered IARs · 25,753 to 25,721Feb 25, 2026 to Mar 23, 2026
- Other offices · 3,779 to 3,910Feb 25, 2026 to Mar 23, 2026
- Discretionary RAUM · $388B to $441BFeb 25, 2026 to Mar 23, 2026
- HNW RAUM · $1013B to $1228BFeb 25, 2026 to Mar 23, 2026
- Individual RAUM · $294B to $314BFeb 25, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $1123B to $1340BFeb 25, 2026 to Mar 23, 2026
- Pension RAUM · $53B to $59BFeb 25, 2026 to Mar 23, 2026
- RAUM · $1511B to $1782BFeb 25, 2026 to Mar 23, 2026
- Wrap assets (sponsor) · $626B to $721BFeb 25, 2026 to Mar 23, 2026
- Financial planning clients · unset to Jun 25, 2025 to Jul 28, 2025
- Accounts · 2,911,578 to 3,085,811Mar 3, 2025 to May 1, 2025
- Advisory employees · 26,251 to 25,753Mar 3, 2025 to May 1, 2025
- BD registered reps · 27,997 to 26,667Mar 3, 2025 to May 1, 2025
- Charity clients · 4,472 to 6,297Mar 3, 2025 to May 1, 2025
- Corporate clients · 20,404 to 20,885Mar 3, 2025 to May 1, 2025
- HNW clients · 411,703 to 464,590Mar 3, 2025 to May 1, 2025
- Individual clients · 1,180,107 to 1,228,655Mar 3, 2025 to May 1, 2025
- Pension plan clients · 17,234 to 17,544Mar 3, 2025 to May 1, 2025
- Assets in custody · $1322B to $1569BMar 3, 2025 to May 1, 2025
- Employees · 34,934 to 33,689Mar 3, 2025 to May 1, 2025
- State-registered IARs · 26,251 to 25,753Mar 3, 2025 to May 1, 2025
- Other offices · 3,542 to 3,779Mar 3, 2025 to May 1, 2025
- Discretionary RAUM · $344B to $388BMar 3, 2025 to May 1, 2025
- HNW RAUM · $821B to $1013BMar 3, 2025 to May 1, 2025
- Individual RAUM · $274B to $294BMar 3, 2025 to May 1, 2025
- Non-discretionary RAUM · $928B to $1123BMar 3, 2025 to May 1, 2025
- Pension RAUM · $47B to $53BMar 3, 2025 to May 1, 2025
- RAUM · $1272B to $1511BMar 3, 2025 to May 1, 2025
- Wrap assets (sponsor) · $521B to $626BMar 3, 2025 to May 1, 2025
- Accounts · 2,864,234 to 2,911,578Feb 22, 2024 to Mar 22, 2024
Signals
60 dated events
- Hannah Caroline Osland no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Alexander Faerman no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Sean Michael Tariche no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Mohamed Nasser Hamada no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Chas M Elliott registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Advisor registered · fact
- Maria P Duarte Gaitan registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Advisor registered · fact
- Isaiah T Jackson registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Advisor registered · fact
- John Peterson registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Advisor registered · fact
- Antonio Joseph Bugli registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Advisor registered · fact
- Ian A Yi registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Advisor registered · fact
- Michael J Layton registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Advisor registered · fact
- Ana Laurence Orriols added a NY registration at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · New state registration · fact
- Jessie C Sims added a MD registration at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · New state registration · fact
- William M Gomolinski added a RI registration at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · New state registration · fact
- Jenna Suzanne Kleine no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Ciro M Iovine no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Christopher J White no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- David Biggs no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Phoebe E Peck no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Caleb John Cavazos no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Luis Hernan Granados Gomez no longer holds an investment adviser registration (last listed at Merrill Lynch, Pierce, Fenner & Smith Incorporated on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- James Layton Jones registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Jessica Claire Bradshaw registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Oluwaseun Ndubisi Abiona registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Winston Banks registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Tara Juliette Kravas registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Colby Winston Brookfield registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Cody Eugene Hayworth registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Luke Smith registered as an investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · Advisor registered · fact
- Patrick Murray added a FL registration at Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 15, 2026 · New state registration · fact
Across DFX
shared identifiers only, never a name match
- Merrill Lynch, Pierce, Fenner & Smith Incorporated · Independent Sponsorsshared crd · intermediary
- Merrill Lynch, Pierce, Fenner & Smith Incorporated · Private Equityshared crd · intermediary
- Merrill Lynch, Pierce, Fenner & Smith Incorporated · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Business phone
- 866-890-4177reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/BANK-OF-AMERICA-MERRILL-LYNCHreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/BANK-OF-AMERICA-BUSINESSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- merrilledge.com/small-business/401kreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-637-7455reportedpublic record, Form ADV, Aug 26, 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
- Wirehousederiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $69.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Merrill Lynch, Pierce, Fenner & Smith Incorporated 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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