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.
Registered advisor
Sarah M Wisniewski
Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseLos Angeles, Cadual registrantIAPD 2340516
Feed of 09/14/2026
Also filed as Sarah M Wisniewski
At current firm
1 y
since Jan 10, 2025
In the industry
30 y
since Jul 22, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Jan 10, 2025 · Los Angeles, Ca
- The Oak Ridge Financial Services Group, Inc independent RIAMar 31, 2023 to Dec 16, 2024 · Playa Del Rey, Ca
- Westpark Capital, Inc. independent RIAJun 5, 2018 to Mar 30, 2023 · Los Angeles, Ca
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerDec 5, 2012 to Dec 15, 2015 · El Segundo, Ca
- Westpark Capital, Inc. independent RIAJan 18, 2012 to Nov 20, 2012 · Los Angeles, Ca
- Strategic Wealth Advisors Group formerDec 7, 2010 to Feb 27, 2012 · San Mateo, Ca
- Associated Planners Investment Advisory Inc unclassifiedNov 14, 2008 to Oct 1, 2009 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- The Oak Ridge Financial Services Group, Inc to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Dec 16, 2024, registered Jan 10, 2025 (25 days) · RIA to wirehouse
- Westpark Capital, Inc. to The Oak Ridge Financial Services Group, Incleft Mar 30, 2023, registered Mar 31, 2023 (1 days) · RIA to affiliated broker-dealer or bank
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Westpark Capital, Inc.left Dec 15, 2015, registered Jun 5, 2018 (903 days) · Other
- Westpark Capital, Inc. to National Planning Corporation ("Npc Of America" In Fl & Ny)left Nov 20, 2012, registered Dec 5, 2012 (15 days) · Other
- Strategic Wealth Advisors Group to Westpark Capital, Inc.left Feb 27, 2012, registered Jan 18, 2012 (-40 days) · Other
- Associated Planners Investment Advisory Inc to Strategic Wealth Advisors Groupleft Oct 1, 2009, registered Dec 7, 2010 (432 days) · Other
Signals
- Sarah M Wisniewski left The Oak Ridge Financial Services Group, Inc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-01-10)Dec 16, 2024 · Advisor changed firm · fact
- Sarah M Wisniewski left Westpark Capital, Inc. for The Oak Ridge Financial Services Group, Inc (registered 2023-03-31)Mar 30, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address