DFX Intelligence

Data Factory

RIA / WealthAdvisor19 years in industry

CARLOS CABAN

Advisor at FISHER INVESTMENTS

TAMPA, FL | PLANO, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d0244526-720c-6360-2820-2c568691a08a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jan 28, 2014 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: May 14, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: May 14, 2007
First registration: Jan 28, 2014
Dual registered: no
IAPD individual key: 5333395

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	Apr 12, 2024	n/a	yes	TAMPA, FL\|PLANO, TX	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Sep 15, 2023	Mar 15, 2024	no	GARDEN CITY, NY	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jul 13, 2016	Aug 21, 2023	no	Garden City, NY\|ARLINGTON, VA\|Garden City, NY	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jan 28, 2014	Jul 19, 2016	no	NEW YORK, NY	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Jan 28, 2014	Jul 19, 2016	no	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	FISHER INVESTMENTS	Mar 15, 2024	Apr 12, 2024	28	Firm change	Ibd to RIA
E*TRADE CAPITAL MANAGEMENT, LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Aug 21, 2023	Sep 15, 2023	25	Firm change	RIA to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	E*TRADE CAPITAL MANAGEMENT, LLC	Jul 19, 2016	Jul 13, 2016	-6	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jul 19, 2016	Jan 28, 2014	-903	Channel change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42159:288590:NY:2023-08-03	Aug 21, 2023	Sep 15, 2023	GARDEN CITY, NY	Firm change

Relationships

Registered with (5)

→ FISHER INVESTMENTSRegistered adviserregistration: current employment
Apr 12, 2024 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Sep 15, 2023 to Mar 15, 2024factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 13, 2016 to Aug 21, 2023factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 28, 2014 to Jul 19, 2016factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Jan 28, 2014 to Jul 19, 2016factForm ADV

Dated events

Occurred
Mar 15, 2024
Advisor changed firm
Carlos Caban left Fidelity Personal And Workplace Advisors for Fisher Investments (registered 2024-04-12)
Form ADVobserved 6 days ago
Occurred
Aug 21, 2023
Advisor changed firm
Carlos Caban left E*Trade Capital Management, Llc for Fidelity Personal And Workplace Advisors (registered 2023-09-15)
Form ADVobserved 6 days ago