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
Peter Lawrence Mooney
Feed of 09/14/2026
Also filed as Peter L Mooney
At current firm
7 y
since May 27, 2019
In the industry
31 y
since Jun 9, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ultra Advisors LLC state registered currentsince May 27, 2019 · Lyndhurst, Oh
- Ancora Retirement Plan Advisors, LLC otherMay 10, 2007 to Mar 25, 2019 · Mayfield Heights, Oh
- Waterstone Financial Group, Inc. unclassifiedMay 28, 2004 to May 11, 2007 · Beachwood, Oh
- Ws Griffith Securities, Inc. unclassifiedSep 26, 2003 to Jun 10, 2004 · Beachwood, Oh
- Simply Money Advisors formerJan 14, 2003 to Sep 23, 2003 · Beachwood, Oh
- Equitable Advisors, LLC national BDSep 18, 2001 to Aug 23, 2002 · Beachwood, Oh
Moves
a registration end followed by a registration begin elsewhere
- Ancora Retirement Plan Advisors, LLC to Ultra Advisors LLCleft Mar 25, 2019, registered May 27, 2019 (63 days) · Other
- Waterstone Financial Group, Inc. to Ancora Retirement Plan Advisors, LLCleft May 11, 2007, registered May 10, 2007 (-1 days) · Other
- Ws Griffith Securities, Inc. to Waterstone Financial Group, Inc.left Jun 10, 2004, registered May 28, 2004 (-13 days) · Other
- Simply Money Advisors to Ws Griffith Securities, Inc.left Sep 23, 2003, registered Sep 26, 2003 (3 days) · Other
- Equitable Advisors, LLC to Simply Money Advisorsleft Aug 23, 2002, registered Jan 14, 2003 (144 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address