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.
Registered advisor
Sarah L. Ellis
Feed of 09/14/2026
Also filed as Sarah L Ellis
At current firm
1 y
since Mar 31, 2025
In the industry
12 y
since Oct 9, 2013 (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, 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
- Strategic Advisers LLC national BD currentsince Mar 31, 2025 · Dallas, Tx
- Fidelity Personal And Workplace Advisors formerJun 9, 2020 to Mar 31, 2025 · Chicago, Il
- Wells Fargo Advisors wirehouseJun 4, 2018 to May 19, 2020 · Greenwood Village, Co
- Santa Barbara Asset Management, LLC formerAug 23, 2017 to Apr 11, 2018 · Chicago, Il
- Morgan Stanley wirehouseDec 8, 2015 to Aug 7, 2017 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Fidelity Personal And Workplace Advisors to Strategic Advisers LLCleft Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Fidelity Personal And Workplace Advisorsleft May 19, 2020, registered Jun 9, 2020 (21 days) · Wirehouse to affiliated broker-dealer or bank
- Santa Barbara Asset Management, LLC to Wells Fargo Advisorsleft Apr 11, 2018, registered Jun 4, 2018 (54 days) · RIA to wirehouse
- Morgan Stanley to Santa Barbara Asset Management, LLCleft Aug 7, 2017, registered Aug 23, 2017 (16 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address