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

Deanna Norris

Northwestern Mutual Investment Services,LLCno RAUMPhoenix, Azdual registrantIAPD 4732105

Feed of 09/14/2026

Also filed as De Norris

At current firm

1 y

since Feb 6, 2025

In the industry

22 y

since Feb 2, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Northwestern Mutual Investment Services,LLC no RAUM current
since Feb 6, 2025 · Phoenix, Az
Gradient Advisors, LLC independent RIA
Jul 29, 2024 to Nov 7, 2024 · Surprise, Az
E*Trade Capital Management, LLC former
Mar 22, 2013 to Apr 18, 2023 · Arlington, Va
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 23, 2009 to Apr 3, 2012 · Indian Wells, Ca
Banc Of America Investment Services, Inc. unclassified
Oct 21, 2005 to Oct 23, 2009 · Riverside, Ca
Ameriprise Financial Services, LLC national BD
Feb 3, 2004 to Nov 17, 2004 · Corona, Ca

Moves

a registration end followed by a registration begin elsewhere

Gradient Advisors, LLC to Northwestern Mutual Investment Services,LLC
left Nov 7, 2024, registered Feb 6, 2025 (91 days) · Other
E*Trade Capital Management, LLC to Gradient Advisors, LLC
left Apr 18, 2023, registered Jul 29, 2024 (468 days) · RIA to RIA
Merrill Lynch, Pierce, Fenner & Smith Incorporated to E*Trade Capital Management, LLC
left Apr 3, 2012, registered Mar 22, 2013 (353 days) · Other
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Ameriprise Financial Services, LLC to Banc Of America Investment Services, Inc.
left Nov 17, 2004, registered Oct 21, 2005 (338 days) · Other

Signals

Deanna Norris left Gradient Advisors, Llc for Northwestern Mutual Investment Services,Llc (registered 2025-02-06)
Nov 7, 2024 · Advisor changed firm · fact
Deanna Norris left E*Trade Capital Management, Llc for Gradient Advisors, Llc (registered 2024-07-29)
Apr 18, 2023 · 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: No RAUM reportedderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address