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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••• W••• A••••

H••• S••••••••• •••• I•••BD affiliatedNew York, Ny dual registrantIAPD 4982400

Feed of 09/15/2026

Also filed as William Warren

At current firm

3 y

since Jul 11, 2023

In the industry

20 y

since Dec 23, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••• S••••••••• •••• I••• BD affiliated current
since Jul 11, 2023 · New York, Ny
C••• P•••••• A•••••••• L•• former
Jul 21, 2022 to Jun 30, 2010 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 21, 2022 to Jun 28, 2023 · New York, Ny
M••••• S•••••• wirehouse
Aug 16, 2021 to Jul 21, 2022 · New York, Ny
W•••• F•••• A••••••• wirehouse
Aug 15, 2017 to Aug 4, 2021 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••
left Jun 28, 2023, registered Jul 11, 2023 (13 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••• P•••••• A•••••••• L••
left Jul 21, 2022, registered Jul 21, 2022 (0 days) · Other · moved with a team
W•••• F•••• A••••••• to M••••• S••••••
left Aug 4, 2021, registered Aug 16, 2021 (12 days) · Wirehouse to wirehouse
C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••
left Jun 30, 2010, registered Jul 21, 2022 (4404 days) · corporate re-registration, not a move

Signals

S••• W••• A•••• left C•••••••• G••••• M•••••• I••• for H••• S••••••••• •••• I••• (registered 2023-07-11)
Jun 28, 2023 · Advisor changed firm · fact
S••• W••• A•••• left M••••• S•••••• for C••• P•••••• A•••••••• L•• (registered 2022-07-21)
Jul 21, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address