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
Whitney W Warmack
Certified Financial Planner
Feed of 09/15/2026
Also filed as Whitney W Herron
At current firm
2 y
since Sep 28, 2023
In the industry
19 y
since Jul 20, 2007 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- The Caprock Group, LLC independent RIA currentsince Sep 28, 2023 · Boise, Id
- Cresset Asset Management, LLC independent RIAOct 1, 2021 to Jun 30, 2023 · Austin, Tx
- Berman Capital Advisors, LLC formerMar 26, 2019 to Oct 19, 2021 · Atlanta, Ga
- Stifel, Nicolaus & Company, Incorporated national BDDec 4, 2015 to Jan 30, 2019 · St. Louis, Mo
- Barclays Capital Inc. formerJan 4, 2011 to Dec 4, 2015 · Atlanta, Ga
- Ameriprise Financial Services, LLC national BDJul 24, 2007 to Sep 9, 2008 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- Cresset Asset Management, LLC to The Caprock Group, LLCleft Jun 30, 2023, registered Sep 28, 2023 (90 days) · RIA to RIA
- Berman Capital Advisors, LLC to Cresset Asset Management, LLCleft Oct 19, 2021, registered Oct 1, 2021 (-18 days) · RIA to RIA · moved with a team
- Stifel, Nicolaus & Company, Incorporated to Berman Capital Advisors, LLCleft Jan 30, 2019, registered Mar 26, 2019 (55 days) · Affiliated broker-dealer or bank to independent RIA
- Barclays Capital Inc. to Stifel, Nicolaus & Company, Incorporatedleft Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- Ameriprise Financial Services, LLC to Barclays Capital Inc.left Sep 9, 2008, registered Jan 4, 2011 (847 days) · Other
Signals
- Whitney W Warmack left Cresset Asset Management, Llc for The Caprock Group, Llc (registered 2023-09-28)Jun 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address