DFX Intelligence

Data Factory

RIA / WealthAdvisor11 years in industry

LUCERO RODRIGUEZ PONCE

Advisor at FISHER\SMB

CARROLLTON, 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:edc5c26c-0b9e-9dda-2729-76a669f0b46f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 26, 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: FISHER\SMB
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: May 8, 2015
First registration: Sep 26, 2017
Dual registered: no
IAPD individual key: 6469033

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\SMB	Institutional manager	Jul 8, 2024	n/a	yes	CARROLLTON, TX	Current employment
FISHER INVESTMENTS	Independent wealth	Oct 15, 2019	Jul 3, 2024	no	PLANO, TX\|PLANO, TX	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Oct 15, 2019	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 26, 2017	Jul 13, 2018	no	WESTLAKE, TX	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
FISHER INVESTMENTS	FISHER\SMB	Jul 3, 2024	Jul 8, 2024	5	Bulk transfer	RIA to new firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS	FISHER INVESTMENTS	Oct 15, 2019	Oct 15, 2019	0	Firm change	Ibd to RIA
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Team moves

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

Team	Left	Joined	From	Kind
288590:107342:MA:2019-10-15	Oct 15, 2019	Oct 15, 2019	BOSTON, MA	Firm change

Relationships

Registered with (4)

→ FISHER\SMBRegistered adviserregistration: current employment
Jul 8, 2024 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Oct 15, 2019 to Jul 3, 2024factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Oct 15, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Sep 26, 2017 to Jul 13, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:edc5c26c-0b9e-9dda-2729-76a669f0b46f
First observed: Sep 26, 2017
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LUCERO RODRIGUEZ PONCE

Advisor at FISHER\SMB

CARROLLTON, 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:edc5c26c-0b9e-9dda-2729-76a669f0b46f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:35 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

FISHER\SMB

Institutional manager

Jul 8, 2024

n/a

yes

CARROLLTON, TX

Current employment

FISHER INVESTMENTS

Independent wealth

Oct 15, 2019

Jul 3, 2024

PLANO, TX|PLANO, TX

Previous registration

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Former SEC adviser

Jul 13, 2018

Oct 15, 2019

BOSTON, MA

Previous registration

STRATEGIC ADVISERS LLC

National bd RIA

Sep 26, 2017

Jul 13, 2018

WESTLAKE, TX

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

FISHER INVESTMENTS

FISHER\SMB

Jul 3, 2024

Jul 8, 2024

Bulk transfer

RIA to new firm

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FISHER INVESTMENTS

Oct 15, 2019

Firm change

Ibd to RIA

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Jul 13, 2018

Bulk transfer

Ibd to new firm

Team

Left

Joined

From

Kind

288590:107342:MA:2019-10-15

Oct 15, 2019

BOSTON, MA

Firm change