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
Neil Frederick Fenning
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Mar 25, 2025
In the industry
10 y
since Mar 1, 2016 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- A5 Financial LLC state registered currentsince Mar 25, 2025 · Bothell, Wa
- Gradient Advisors, LLC independent RIAMar 4, 2024 to Apr 15, 2025 · Arden Hills, Mn
- Decker Retirement Planning Inc. independent RIAAug 13, 2021 to Jan 5, 2024 · Renton, Wa
- Ameriprise Financial Services, LLC national BDMay 4, 2020 to Aug 3, 2021 · Edmonds, Wa
- Charles Schwab & Co., Inc. national BDJul 12, 2016 to Dec 12, 2019 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- Gradient Advisors, LLC to A5 Financial LLCleft Apr 15, 2025, registered Mar 25, 2025 (-21 days) · RIA to a state-registered adviser
- Decker Retirement Planning Inc. to Gradient Advisors, LLCleft Jan 5, 2024, registered Mar 4, 2024 (59 days) · RIA to RIA
- Ameriprise Financial Services, LLC to Decker Retirement Planning Inc.left Aug 3, 2021, registered Aug 13, 2021 (10 days) · Affiliated broker-dealer or bank to independent RIA
- Charles Schwab & Co., Inc. to Ameriprise Financial Services, LLCleft Dec 12, 2019, registered May 4, 2020 (144 days) · Affiliated broker-dealer or bank to another
Signals
- Neil Frederick Fenning left Gradient Advisors, Llc for A5 Financial Llc (registered 2025-03-25)Apr 15, 2025 · Advisor changed firm · fact
- Neil Frederick Fenning left Decker Retirement Planning Inc. for Gradient Advisors, Llc (registered 2024-03-04)Jan 5, 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address