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
David Lindsey Spencer
Feed of 09/14/2026
Also filed as David L. Spencer
At current firm
3 y
since Oct 21, 2022
In the industry
21 y
since Sep 2, 2005 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Credit Union Investment Services state registered currentsince Oct 21, 2022 · Huntersville, Nc
- Fidelity Personal And Workplace Advisors formerSep 7, 2021 to Oct 3, 2022 · Merrimack, Nh
- Cuso Financial Services, L.P. formerJul 10, 2019 to May 19, 2021 · Charlotte, Nc
- Cuna Brokerage Services, Inc. formerFeb 18, 2009 to Jul 12, 2019 · Waverly, Ia
- Equitable Advisors, LLC national BDNov 3, 2005 to Jan 9, 2009 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Credit Union Investment Servicesleft Oct 3, 2022, registered Oct 21, 2022 (18 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Cuso Financial Services, L.P. to Fidelity Personal And Workplace Advisorsleft May 19, 2021, registered Sep 7, 2021 (111 days) · Affiliated broker-dealer or bank to another
- Cuna Brokerage Services, Inc. to Cuso Financial Services, L.P.left Jul 12, 2019, registered Jul 10, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- Equitable Advisors, LLC to Cuna Brokerage Services, Inc.left Jan 9, 2009, registered Feb 18, 2009 (40 days) · Other
Signals
- David Lindsey Spencer left Fidelity Personal And Workplace Advisors for Credit Union Investment Services (registered 2022-10-21)Oct 3, 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
- STATE REGISTEREDderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address