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RIA / WealthAdvisorCertified Financial Planner15 years in industry

MATTHEW WILLIAM BAUMANN

Advisor at FISHER INVESTMENTS

PLANO, TX | ROCKLIN, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 17, 2011 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FISHER INVESTMENTS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 11, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Mar 11, 2011
First registration: May 17, 2011
Dual registered: no
IAPD individual key: 5753690

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FISHER INVESTMENTS	Independent wealth	Jan 24, 2020	n/a	yes	PLANO, TX\|ROCKLIN, CA	Current employment
CREATIVE PLANNING	Independent wealth	Aug 23, 2016	Nov 7, 2016	no	Brentwood, TN\|OVERLAND PARK, KS	Previous registration
FISHER INVESTMENTS	Independent wealth	Apr 16, 2013	Aug 4, 2016	no	CAMAS, WA\|PLANO, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 13, 2013	Mar 19, 2013	no	OMAHA, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 6, 2012	Mar 19, 2013	no	Omaha, NE\|OMAHA, NE	Previous registration
RUSS KAPLAN INVESTMENTS	n/a	May 17, 2011	Oct 20, 2011	no	OMAHA, NE	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CREATIVE PLANNING	FISHER INVESTMENTS	Nov 7, 2016	Jan 24, 2020	1,173	Firm change after gap	Other
FISHER INVESTMENTS	CREATIVE PLANNING	Aug 4, 2016	Aug 23, 2016	19	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Mar 19, 2013	Feb 13, 2013	-34	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	FISHER INVESTMENTS	Mar 19, 2013	Apr 16, 2013	28	Firm change	Other
RUSS KAPLAN INVESTMENTS	TD AMERITRADE, INC.	Oct 20, 2011	Feb 6, 2012	109	Firm change	Other

Relationships

Registered with (5)

→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Apr 16, 2013 to Aug 4, 2016factForm ADV
→ CREATIVE PLANNINGRegistered adviserregistration: previous registration
Aug 23, 2016 to Nov 7, 2016factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 13, 2013 to Mar 19, 2013factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 6, 2012 to Mar 19, 2013factForm ADV
→ RUSS KAPLAN INVESTMENTSRegistered adviserregistration: previous registration
May 17, 2011 to Oct 20, 2011factForm ADV

Dated events

No dated event names this entity yet.