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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Daniel Schwartz

Advisor at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CONCORD, NC | PLYMOUTH, MN

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Search this name across graphsid dfx:ria:c1fba300-8a50-4f75-380d-3d9749c222b2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 9, 2007 to Sep 14, 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: WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 1, 2007
First registration: Feb 9, 2007
Dual registered: yes, broker-dealer
Other names: Daniel Scott Schwartz|DANIEL SCHWARTZ
IAPD individual key: 5233875

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
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Jun 11, 2025	n/a	yes	CONCORD, NC\|PLYMOUTH, MN	Current employment
NUVEEN ASSET MANAGEMENT, LLC	Mixed wealth	Nov 17, 2020	Feb 12, 2025	no	CHICAGO, IL	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	Dec 2, 2010	Oct 7, 2020	no	NEW YORK, NY	Previous registration
TOUCHSTONE ADVISORS INC	Asset manager	Nov 30, 2007	Jun 2, 2010	no	CINCINNATI, OH	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Feb 9, 2007	Nov 13, 2007	no	Westport, CT	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
NUVEEN ASSET MANAGEMENT, LLC	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Feb 12, 2025	Jun 11, 2025	119	Firm change	RIA to ibd
CLEARBRIDGE INVESTMENTS, LLC	NUVEEN ASSET MANAGEMENT, LLC	Oct 7, 2020	Nov 17, 2020	41	Firm change	RIA to RIA
TOUCHSTONE ADVISORS INC	CLEARBRIDGE INVESTMENTS, LLC	Jun 2, 2010	Dec 2, 2010	183	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	TOUCHSTONE ADVISORS INC	Nov 13, 2007	Nov 30, 2007	17	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
137028:155584:NY:2020-10-07	Oct 7, 2020	Nov 17, 2020	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Jun 11, 2025 to presentfactForm ADV
→ NUVEEN ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 17, 2020 to Feb 12, 2025factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 2, 2010 to Oct 7, 2020factForm ADV
→ TOUCHSTONE ADVISORS INCRegistered adviserregistration: previous registration
Nov 30, 2007 to Jun 2, 2010factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Feb 9, 2007 to Nov 13, 2007factForm ADV

Dated events

Occurred
Feb 12, 2025
Advisor changed firm
Daniel Schwartz left Nuveen Asset Management, Llc for Wealth Enhancement Advisory Services, Llc (registered 2025-06-11)
Form ADVobserved 4 days ago