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
Also filed as Whittney Stuart
At current firm
2 y
since Aug 21, 2024
In the industry
14 y
since Jun 30, 2012 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Edward Jones national BD currentsince Aug 21, 2024 · Riverview, Fl
- Forthright Capital independent RIAFeb 21, 2023 to Nov 7, 2023 · Las Vegas, Nv
- Fisher Investments independent RIADec 21, 2020 to Nov 7, 2022 · Plano, Tx
- Sandy Morris Financial & Estate Planning Services, LLC independent RIAMar 6, 2020 to Feb 24, 2022 · Tampa, Fl
- Sandy Morris Financial & Estate Planning Services, LLC independent RIAFeb 8, 2019 to Jun 10, 2019 · Tampa, Fl
- Usaa Investment Services Company no RAUMJan 8, 2018 to Oct 26, 2018 · San Antonio, Tx
- Usaa Financial Planning Services formerOct 26, 2017 to Jan 8, 2018 · Tampa, Fl
- Capital Analysts BD affiliatedMay 15, 2014 to Mar 22, 2017 · Wyncote, Pa
- Lincoln Investment independent RIAMay 15, 2014 to Mar 22, 2017 · Fort Washington, Pa
- Usaa Financial Planning Services formerJul 13, 2012 to Apr 25, 2014 · Addison, Tx
Moves
a registration end followed by a registration begin elsewhere
- Forthright Capital to Edward Jonesleft Nov 7, 2023, registered Aug 21, 2024 (288 days) · RIA to affiliated broker-dealer or bank
- Fisher Investments to Forthright Capitalleft Nov 7, 2022, registered Feb 21, 2023 (106 days) · RIA to a newly registered adviser
- Sandy Morris Financial & Estate Planning Services, LLC to Fisher Investmentsleft Feb 24, 2022, registered Dec 21, 2020 (-430 days) · RIA to RIA
- Usaa Investment Services Company to Sandy Morris Financial & Estate Planning Services, LLCleft Oct 26, 2018, registered Feb 8, 2019 (105 days) · Affiliated broker-dealer or bank to independent RIA
- Usaa Financial Planning Services to Usaa Investment Services Companyleft Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- Capital Analysts to Usaa Financial Planning Servicesleft Mar 22, 2017, registered Oct 26, 2017 (218 days) · Other
- Lincoln Investment to Capital Analystsleft Mar 22, 2017, registered May 15, 2014 (-1042 days) · Other
- Usaa Financial Planning Services to Lincoln Investmentleft Apr 25, 2014, registered May 15, 2014 (20 days) · Other
Signals
- Whittney D Harvey left Forthright Capital for Edward Jones (registered 2024-08-21)Nov 7, 2023 · Advisor changed firm · fact
- Whittney D Harvey left Fisher Investments for Forthright Capital (registered 2023-02-21)Nov 7, 2022 · Advisor changed firm · fact
- Whittney D Harvey left Sandy Morris Financial & Estate Planning Services, Llc for Fisher Investments (registered 2020-12-21)Feb 24, 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address