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
Warren Francis Mulhern
Feed of 09/14/2026
Also filed as Warren Francis Mulhern
At current firm
5 y
since May 18, 2021
In the industry
45 y
since Jun 23, 1981 (earliest exam, job or registration)
Prior registered firms
6
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
- Empirical Asset Management, LLC independent RIA currentsince May 18, 2021 · Wellesley, Ma
- Ars Investment Management, LLC formerJul 7, 2016 to Feb 3, 2017 · Needham, Ma
- Ars Investment Management, LLC formerOct 1, 2015 to Jan 4, 2016 · Needham, Ma
- Dolan Capital Group, LLC unclassifiedJun 20, 2011 to Feb 3, 2017 · Needham, Ma
- Icon Advisers, Inc. otherApr 19, 2007 to Oct 24, 2008 · Greenwood Village, Co
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 8, 2006 to Apr 6, 2006 · New York, Ny
- Advest, Inc. unclassifiedMay 26, 2000 to Mar 8, 2006 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- Dolan Capital Group, LLC to Ars Investment Management, LLCleft Feb 3, 2017, registered Oct 1, 2015 (-491 days) · Other
- Ars Investment Management, LLC to Empirical Asset Management, LLCleft Feb 3, 2017, registered May 18, 2021 (1565 days) · Other
- Icon Advisers, Inc. to Dolan Capital Group, LLCleft Oct 24, 2008, registered Jun 20, 2011 (969 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Icon Advisers, Inc.left Apr 6, 2006, registered Apr 19, 2007 (378 days) · Other
- Advest, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 8, 2006, registered Mar 8, 2006 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address