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RIA / WealthAdvisor41 years in industry

Thomas Guy Fox

Advisor at WATERSTREET ASSET MANAGEMENT LLC

EDEN PRAIRIE, MN

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Search this name across graphsid dfx:ria:d7743b72-a8f3-0d39-141c-380dccd070ff

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 13, 2017 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: WATERSTREET ASSET MANAGEMENT LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 15, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 15, 1985
First registration: Jul 13, 2017
Dual registered: no
Other names: THOMAS ZWINGMAN FOX|THOMAS GUY ZWINGMAN
IAPD individual key: 1337778

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
WATERSTREET ASSET MANAGEMENT LLC	State registered	Dec 31, 2020	n/a	yes	EDEN PRAIRIE, MN	Current employment
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Mar 27, 2019	Jul 16, 2025	no	EDEN PRAIRIE, MN\|HOUSTON, TX	Previous registration
WATERSTREET ASSET MANAGEMENT LLC	State registered	Sep 8, 2017	Dec 31, 2020	no	EDEN PRAIRIE, MN	Previous registration
HAYDEN ROYAL	Former SEC adviser	Jul 13, 2017	Oct 20, 2017	no	Minnetonka, MN\|CHARLOTTE, NC	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
NEXT FINANCIAL GROUP, INC.	WATERSTREET ASSET MANAGEMENT LLC	Jul 16, 2025	Dec 31, 2020	-1,658	Firm change after gap	Ibd to state RIA
WATERSTREET ASSET MANAGEMENT LLC	NEXT FINANCIAL GROUP, INC.	Dec 31, 2020	Mar 27, 2019	-645	Firm change after gap	Other
HAYDEN ROYAL	WATERSTREET ASSET MANAGEMENT LLC	Oct 20, 2017	Sep 8, 2017	-42	Firm change after gap	Other

Relationships

Registered with (3)

→ WATERSTREET ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Sep 8, 2017 to Dec 31, 2020factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Mar 27, 2019 to Jul 16, 2025factForm ADV
→ HAYDEN ROYALRegistered adviserregistration: previous registration
Jul 13, 2017 to Oct 20, 2017factForm ADV

Dated events

Occurred
Jul 16, 2025
Advisor changed firm
Thomas Guy Fox left Next Financial Group, Inc. for Waterstreet Asset Management Llc (registered 2020-12-31)
Form ADVobserved 6 days ago