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
0 y
since Sep 10, 2026
In the industry
14 y
since Dec 16, 2011 (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
- Swmg, LLC independent RIA currentsince Sep 10, 2026 · Fort Worth, Tx
- Fisher Investments independent RIASep 18, 2018 to Nov 13, 2024 · Plano, Tx
- Td Ameritrade, Inc. formerNov 18, 2013 to Sep 7, 2018 · Westlake, Tx
- Td Ameritrade Investment Management, LLC formerJun 10, 2013 to Sep 7, 2018 · Fort Worth, Tx
- Wells Fargo Advisors wirehouseDec 19, 2011 to Apr 16, 2013 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- Fisher Investments to Swmg, LLCleft Nov 13, 2024, registered Sep 10, 2026 (666 days) · RIA to RIA
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Sep 7, 2018, registered Nov 18, 2013 (-1754 days) · channel change inside one enterprise, not a move · moved with a team
- Td Ameritrade, Inc. to Fisher Investmentsleft Sep 7, 2018, registered Sep 18, 2018 (11 days) · Other
- Wells Fargo Advisors to Td Ameritrade Investment Management, LLCleft Apr 16, 2013, registered Jun 10, 2013 (55 days) · Other
Signals
- Joel Robert Galloway left Fisher Investments for Swmg, Llc (registered 2026-09-10)Nov 13, 2024 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address