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DW

Daniel B. Wanzenberg

Some features on this profile are disabled
CRD#: 2524671
DW

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Brook Wanzenberg, who also goes by Daniel B Wanzenberg, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1995. Daniel had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel B Wanzenberg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 21, 2023 - April 17, 2026

MOODY ALDRICH PARTNERS, LLC

RIA
CRD#: 106920
Winnetka, IL
Past

July 29, 2014 - December 31, 2016

APS LABS, LLC

RIA
CRD#: 172175
CHICAGO, IL
Past

July 29, 2014 - September 26, 2023

APS LABS, LLC

RIA
CRD#: 172175
WINNETKA, IL
Past

June 2, 2010 - December 31, 2014

WANZENBERG PARTNERS, LLC

RIA
CRD#: 153252
CHICAGO, IL
Past

September 20, 2007 - April 3, 2008

ABN AMRO INCORPORATED

BD
CRD#: 15776
CHICAGO, IL
Past

July 26, 2004 - September 25, 2007

LASALLE FINANCIAL SERVICES, INC.

RIA
CRD#: 20373
CHICAGO, IL
Past

July 26, 2004 - September 25, 2007

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

February 20, 2002 - July 16, 2002

PORTFOLIO BROKERAGE SERVICES, INC.

BD
CRD#: 18554
CHICAGO, IL
Past

March 23, 1995 - February 29, 2000

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MOODY ALDRICH PARTNERS, LLC
EASTERN SHORE CAPITAL MANAGEMENT | MOODY ALDRICH PARTNERS, LLC | MOODY ALDRICH & SULLIVAN LLC | GLOBAL VALUE ADVISORS

CRD#: 106920 / SEC#: 801-32888

RIA
Registered Investment Advisory firm - (9/16/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/3/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/30/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/22/1995
General Securities Representative Examination

Current Firm

MA
MOODY ALDRICH PARTNERS, LLC
EASTERN SHORE CAPITAL MANAGEMENT | MOODY ALDRICH PARTNERS, LLC | MOODY ALDRICH & SULLIVAN LLC | GLOBAL VALUE ADVISORS

CRD#: 106920 / SEC#: 801-32888

RIA
Registered Investment Advisory firm - (9/16/1988 Approved)
PREMIUM
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Contact information

Main Address
18 Sewall Street, Marblehead, MA 01945
Mailing Address
Phone number
(781) 639-2750
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MAP ADV PART 2A FEBRUARY 2026 (2/6/2026)

Regulatory assets under management

Total Number of Accounts376
AUM (Assets Under Management)$ 864,323,569

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MOODY ALDRICH PARTNERS, LLC

CRD#: 106920

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