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
Sameer Ferrell
Feed of 09/14/2026
At current firm
0 y
since Jun 12, 2026
In the industry
30 y
since Jan 22, 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Advice And Planning Services BD affiliated currentsince Jun 12, 2026 · Sherman Oaks, Ca
- RBC Securities, Inc. BD affiliatedDec 10, 2021 to Jun 9, 2026 · Los Angeles, Ca
- Comerica Securities formerJul 20, 2017 to Nov 4, 2021 · Los Angeles, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 11, 2014 to Dec 27, 2016 · Beverly Hills, Ca
- Morgan Stanley wirehouseJan 24, 2014 to Nov 6, 2014 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- RBC Securities, Inc. to Advice And Planning Servicesleft Jun 9, 2026, registered Jun 12, 2026 (3 days) · Affiliated broker-dealer or bank to another
- Comerica Securities to RBC Securities, Inc.left Nov 4, 2021, registered Dec 10, 2021 (36 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Comerica Securitiesleft Dec 27, 2016, registered Jul 20, 2017 (205 days) · Other
- Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Nov 6, 2014, registered Dec 11, 2014 (35 days) · Wirehouse to wirehouse
Signals
- Sameer Ferrell left Rbc Securities, Inc. for Advice And Planning Services (registered 2026-06-12)Jun 9, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address