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 09/15/2026
Also filed as Josh Cole
At current firm
2 y
since Dec 12, 2023
In the industry
16 y
since Oct 30, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Fisher Investments independent RIA currentsince Dec 12, 2023 · Tampa, Fl
- Ndvr formerFeb 28, 2023 to Oct 31, 2023 · Land O'Lakes, Fl
- Fisher Investments independent RIASep 25, 2014 to Feb 6, 2023 · Plano, Tx
- Edward Jones national BDOct 1, 2012 to Sep 4, 2014 · St Louis, Mo
- Blackrock Financial Management, Inc otherFeb 13, 2012 to Oct 12, 2012 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Ndvr to Fisher Investmentsleft Oct 31, 2023, registered Dec 12, 2023 (42 days) · RIA to RIA
- Fisher Investments to Ndvrleft Feb 6, 2023, registered Feb 28, 2023 (22 days) · RIA to RIA
- Edward Jones to Fisher Investmentsleft Sep 4, 2014, registered Sep 25, 2014 (21 days) · Other
- Blackrock Financial Management, Inc to Edward Jonesleft Oct 12, 2012, registered Oct 1, 2012 (-11 days) · Other
Signals
- Joshua Eric Cole left Ndvr for Fisher Investments (registered 2023-12-12)Oct 31, 2023 · Advisor changed firm · fact
- Joshua Eric Cole left Fisher Investments for Ndvr (registered 2023-02-28)Feb 6, 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address