DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Alan E. Shenker
Feed of 09/14/2026
Also filed as Alan Edward Shenker
At current firm
1 y
since Mar 31, 2025
In the industry
41 y
since Apr 16, 1985 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Saint John, In
- Fidelity Personal And Workplace Advisors formerFeb 21, 2023 to Mar 31, 2025 · Saint John, In
- Fifth Third Securities, Inc. BD affiliatedAug 18, 2021 to Sep 22, 2022 · Highland, In
- Morgan Stanley Investment Management Inc. asset managerFeb 29, 2016 to Aug 3, 2021 · Chicago, Il
- Morgan Stanley wirehouseJun 1, 2009 to Feb 26, 2016 · Green Bay, Wi
- Citigroup Global Markets Inc. BD affiliatedSep 7, 1993 to Jun 1, 2009 · Green Bay, Wi
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Fifth Third Securities, Inc. to Fidelity Personal And Workplace Advisorsleft Sep 22, 2022, registered Feb 21, 2023 (152 days) · Affiliated broker-dealer or bank to another
- Morgan Stanley Investment Management Inc. to Fifth Third Securities, Inc.left Aug 3, 2021, registered Aug 18, 2021 (15 days) · Other
- Morgan Stanley to Morgan Stanley Investment Management Inc.left Feb 26, 2016, registered Feb 29, 2016 (3 days) · channel change inside one enterprise, not a move
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- Alan E. Shenker left Fifth Third Securities, Inc. for Fidelity Personal And Workplace Advisors (registered 2023-02-21)Sep 22, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address