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RIA / WealthAdvisor16 years in industry

PENNY KATHERINE MANDELL

Advisor at FISHER INVESTMENTS

Camas, WA | PLANO, TX

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Search this name across graphsid dfx:ria:76d74df1-e7cb-bbc1-58bc-561622415f15

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 5, 2009 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: Oct 5, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Oct 20, 2009
First registration: Oct 5, 2009
Dual registered: no
IAPD individual key: 1325713

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	Mar 20, 2018	n/a	yes	PLANO, TX\|Camas, WA	Current employment
EVERGREEN CAPITAL MANAGEMENT LLC	Independent wealth	Dec 4, 2014	Mar 2, 2018	no	BELLEVUE, WA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Feb 9, 2012	Dec 24, 2014	no	PORTLAND, OR	Previous registration
SUMMIT CREEK CAPITAL LLC	Former SEC adviser	Oct 5, 2009	Feb 9, 2012	no	KETCHUM, ID	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
EVERGREEN CAPITAL MANAGEMENT LLC	FISHER INVESTMENTS	Mar 2, 2018	Mar 20, 2018	18	Firm change	RIA to RIA
RBC CAPITAL MARKETS, LLC	EVERGREEN CAPITAL MANAGEMENT LLC	Dec 24, 2014	Dec 4, 2014	-20	Firm change	Other
SUMMIT CREEK CAPITAL LLC	RBC CAPITAL MARKETS, LLC	Feb 9, 2012	Feb 9, 2012	0	Firm change	Other

Relationships

Registered with (4)

→ FISHER INVESTMENTSRegistered adviserregistration: current employment
Mar 20, 2018 to presentfactForm ADV
→ EVERGREEN CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Dec 4, 2014 to Mar 2, 2018factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Feb 9, 2012 to Dec 24, 2014factForm ADV
→ SUMMIT CREEK CAPITAL LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Feb 9, 2012factForm ADV

Dated events

No dated event names this entity yet.