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.
Feed of 09/14/2026
At current firm
0 y
since May 20, 2026
In the industry
29 y
since Nov 18, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Fisher Investments independent RIA currentsince May 20, 2026 · Plano, Tx
- Newedge Advisors BD affiliatedJun 20, 2025 to Aug 1, 2025 · Overland Park, Ks
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 13, 2015 to Jan 15, 2025 · Independence, Mo
- Principal Securities, Inc. BD affiliatedDec 4, 2013 to Mar 6, 2015 · Overland Park, Ks
- New England Securities Corporation formerJun 22, 2012 to Jul 5, 2012 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- Newedge Advisors to Fisher Investmentsleft Aug 1, 2025, registered May 20, 2026 (292 days) · Affiliated broker-dealer or bank to independent RIA
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Newedge Advisorsleft Jan 15, 2025, registered Jun 20, 2025 (156 days) · Wirehouse to affiliated broker-dealer or bank
- Principal Securities, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 6, 2015, registered Mar 13, 2015 (7 days) · Other
- New England Securities Corporation to Principal Securities, Inc.left Jul 5, 2012, registered Dec 4, 2013 (517 days) · Other
Signals
- Guy Cameron Clark left Newedge Advisors for Fisher Investments (registered 2026-05-20)Aug 1, 2025 · Advisor changed firm · fact
- Guy Cameron Clark left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Newedge Advisors (registered 2025-06-20)Jan 15, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address