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
Daniel Schwartz
Feed of 09/14/2026
Also filed as Daniel Scott Schwartz
At current firm
1 y
since Jun 11, 2025
In the industry
19 y
since Feb 1, 2007 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Wealth Enhancement Advisory Services, LLC BD affiliated currentsince Jun 11, 2025 · Concord, Nc
- Nuveen Asset Management, LLC mixed wealthNov 17, 2020 to Feb 12, 2025 · Chicago, Il
- Clearbridge Investments, LLC mixed wealthDec 2, 2010 to Oct 7, 2020 · New York, Ny
- Touchstone Advisors Inc asset managerNov 30, 2007 to Jun 2, 2010 · Cincinnati, Oh
- Ameriprise Financial Services, LLC national BDFeb 9, 2007 to Nov 13, 2007 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- Nuveen Asset Management, LLC to Wealth Enhancement Advisory Services, LLCleft Feb 12, 2025, registered Jun 11, 2025 (119 days) · RIA to affiliated broker-dealer or bank
- Clearbridge Investments, LLC to Nuveen Asset Management, LLCleft Oct 7, 2020, registered Nov 17, 2020 (41 days) · RIA to RIA · moved with a team
- Touchstone Advisors Inc to Clearbridge Investments, LLCleft Jun 2, 2010, registered Dec 2, 2010 (183 days) · Other
- Ameriprise Financial Services, LLC to Touchstone Advisors Incleft Nov 13, 2007, registered Nov 30, 2007 (17 days) · Other
Signals
- Daniel Schwartz left Nuveen Asset Management, Llc for Wealth Enhancement Advisory Services, Llc (registered 2025-06-11)Feb 12, 2025 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address