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

A••••• G••••• W•••••

E•••••••• A•••••••• L••national BDMorristown, Njdual registrantIAPD 7002384

Feed of 09/14/2026

Also filed as Arthur Warden

At current firm

2 y

since Jun 3, 2024

In the industry

12 y

since Sep 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Jun 3, 2024 · Morristown, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 24, 2023 to Jun 3, 2024 · Bedminster, Nj
E•••••• C•••••• M••••••••• L•• former
Jan 24, 2022 to Aug 18, 2023 · Morristown, Nj
E•••••••• A•••••••• L•• national BD
Dec 18, 2018 to Feb 1, 2022 · Flanders, Nj

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••
left Jun 3, 2024, registered Jun 3, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 18, 2023, registered Oct 24, 2023 (67 days) · RIA to wirehouse
E•••••••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••
left Feb 1, 2022, registered Jan 24, 2022 (-8 days) · Affiliated broker-dealer or bank to independent RIA

Signals

A••••• G••••• W••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E•••••••• A•••••••• L•• (registered 2024-06-03)
Jun 3, 2024 · Advisor changed firm · fact
A••••• G••••• W••••• left E•••••• C•••••• M••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-10-24)
Aug 18, 2023 · Advisor changed firm · fact
A••••• G••••• W••••• left E•••••••• A•••••••• L•• for E•••••• C•••••• M••••••••• L•• (registered 2022-01-24)
Feb 1, 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: National broker-dealer RIAderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address