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 Jul 17, 2026
In the industry
11 y
since Dec 23, 2014 (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
S63, 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
- Fisher Investments independent RIA currentsince Jul 17, 2026 · Plano, Tx
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 3, 2020 to May 19, 2026 · Chandler, Az
- Pruco Securities, LLC no RAUMJul 17, 2019 to Sep 9, 2019 · Phoenix, Az
- LPL Financial LLC BD affiliatedMay 16, 2019 to Jun 26, 2019 · San Tan Valley, Az
- Edward Jones national BDNov 4, 2015 to Apr 10, 2019 · Chandler, Az
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Fisher Investmentsleft May 19, 2026, registered Jul 17, 2026 (59 days) · Wirehouse to independent RIA · moved with a team
- Pruco Securities, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Sep 9, 2019, registered Mar 3, 2020 (176 days) · Affiliated broker-dealer or bank to wirehouse
- LPL Financial LLC to Pruco Securities, LLCleft Jun 26, 2019, registered Jul 17, 2019 (21 days) · RIA to affiliated broker-dealer or bank
- Edward Jones to LPL Financial LLCleft Apr 10, 2019, registered May 16, 2019 (36 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- John David Borzone left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Fisher Investments (registered 2026-07-17)May 19, 2026 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address