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
1 y
since Aug 31, 2025
In the industry
16 y
since Dec 22, 2009 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Fisher\Smb institutional currentsince Aug 31, 2025 · Carrollton, Tx
- Fisher Investments independent RIAJul 23, 2014 to Jul 3, 2024 · Plano, Tx
- Ameritas Advisory Services formerJan 29, 2013 to Jul 15, 2014 · Lincoln, Ne
- Thrivent Investment Management Inc. BD affiliatedApr 23, 2012 to Dec 18, 2012 · Lake Oswego, Or
- Thrivent Investment Management Inc. BD affiliatedDec 23, 2009 to Mar 22, 2012 · Thousand Oaks, Ca
Moves
a registration end followed by a registration begin elsewhere
- Fisher Investments to Fisher\Smbleft Jul 3, 2024, registered Aug 31, 2025 (424 days) · corporate re-registration, not a move
- Ameritas Advisory Services to Fisher Investmentsleft Jul 15, 2014, registered Jul 23, 2014 (8 days) · Other
- Thrivent Investment Management Inc. to Ameritas Advisory Servicesleft Dec 18, 2012, registered Jan 29, 2013 (42 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address