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
2 y
since Jul 11, 2024
In the industry
19 y
since Jan 27, 2007 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Fisher\Smb institutional currentsince Jul 11, 2024 · Vancouver, Wa
- Fisher Investments independent RIAJun 1, 2011 to Jul 3, 2024 · Camas, Wa
- Morgan Stanley wirehouseJun 1, 2009 to May 10, 2011 · Salt Lake City, Ut
- Morgan Stanley & Co. LLC unclassifiedJun 3, 2008 to Jun 1, 2009 · Salt Lake City, Ut
- Cambridge Investment Research Advisors, Inc. BD affiliatedJan 7, 2008 to Jun 10, 2008 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- Fisher Investments to Fisher\Smbleft Jul 3, 2024, registered Jul 11, 2024 (8 days) · corporate re-registration, not a move
- Morgan Stanley to Fisher Investmentsleft May 10, 2011, registered Jun 1, 2011 (22 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Cambridge Investment Research Advisors, Inc. to Morgan Stanley & Co. LLCleft Jun 10, 2008, registered Jun 3, 2008 (-7 days) · Other
Signals
No dated event on this person.
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
- Institutional managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address