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RIA / WealthAdvisor21 years in industry

ANDREW MICHAEL MALLARDI

Advisor at FISHER INVESTMENTS

PLANO, TX | HOLMDEL, NJ

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Search this name across graphsid dfx:ria:cae35afc-9f8c-956f-448a-78d6c2acce93

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 1, 2005 to Sep 14, 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: Jun 8, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jun 8, 2005
First registration: Aug 1, 2005
Dual registered: no
IAPD individual key: 4827218

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	May 20, 2019	n/a	yes	PLANO, TX\|HOLMDEL, NJ	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 19, 2009	May 8, 2019	no	PARAMUS, NJ\|Short Hills, NJ\|Short Hills, NJ\|MORRISTOWN, NJ	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 19, 2009	May 8, 2019	no	Paramus, NJ\|SHORT HILLS, NJ\|MORRISTOWN, NJ\|SHORT HILLS, NJ	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	May 8, 2008	Feb 17, 2009	no	NEW YORK, NY	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Aug 1, 2005	Jul 10, 2007	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	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
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 8, 2019	Feb 19, 2009	-3,730	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	May 8, 2019	Feb 19, 2009	-3,730	Firm change after gap	Other
OPPENHEIMER & CO. INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Feb 17, 2009	Feb 19, 2009	2	Firm change	Other
NEUBERGER BERMAN BD LLC	OPPENHEIMER & CO. INC.	Jul 10, 2007	May 8, 2008	303	Firm change	Other

Relationships

Registered with (5)

→ FISHER INVESTMENTSRegistered adviserregistration: current employment
May 20, 2019 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 19, 2009 to May 8, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 19, 2009 to May 8, 2019factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
May 8, 2008 to Feb 17, 2009factForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
Aug 1, 2005 to Jul 10, 2007factForm ADV

Dated events

No dated event names this entity yet.