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RIA / WealthAdvisor22 years in industry

MAURICE LEONARD WHITTAKER

Advisor at STANSBERRY ASSET MANAGEMENT, LLC

San Francisco, CA | WESTLAKE, TX

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Search this name across graphsid dfx:ria:92b3704d-e003-c83c-225a-421acd9750ef

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 13, 2008 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STANSBERRY ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 28, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66|S63|S65
First exam: Jun 28, 2004
First registration: Oct 13, 2008
Dual registered: no
Other names: MAURICE WHITTAKER
IAPD individual key: 4807415

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STANSBERRY ASSET MANAGEMENT, LLC	Independent wealth	Jan 16, 2023	n/a	yes	San Francisco, CA\|WESTLAKE, TX	Current employment
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Oct 25, 2017	Jun 11, 2019	no	San Francisco, CA\|ARLINGTON, VA	Previous registration
LORD, ABBETT & CO. LLC	Asset manager	Apr 7, 2014	Aug 7, 2017	no	JERSEY CITY, NJ	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Oct 13, 2008	Apr 1, 2014	no	FLUSHING, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E*TRADE CAPITAL MANAGEMENT, LLC	STANSBERRY ASSET MANAGEMENT, LLC	Jun 11, 2019	Jan 16, 2023	1,315	Firm change after gap	RIA to RIA
LORD, ABBETT & CO. LLC	E*TRADE CAPITAL MANAGEMENT, LLC	Aug 7, 2017	Oct 25, 2017	79	Firm change	Other
EQUITABLE ADVISORS, LLC	LORD, ABBETT & CO. LLC	Apr 1, 2014	Apr 7, 2014	6	Firm change	Other

Relationships

Registered with (4)

→ STANSBERRY ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 16, 2023 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 25, 2017 to Jun 11, 2019factForm ADV
→ LORD, ABBETT & CO. LLCRegistered adviserregistration: previous registration
Apr 7, 2014 to Aug 7, 2017factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Oct 13, 2008 to Apr 1, 2014factForm ADV

Dated events

No dated event names this entity yet.