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.
Former SEC-registered adviser
Fidelity Personal And Workplace Advisors
Legal name Fidelity Personal And Workplace Advisors LLC
Latest filing Feb 14, 2025
First filing on the tape Oct 13, 2017 · 68 filings
SEC status approved since Nov 13, 2017
RAUM
$819B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$704B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15,424
15,424 advisory (5.B.1)
Offices
2,960
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$819B as of Feb 14, 2025
Mar 29, 2019$338B then
HNW client RAUM$457B as of Feb 14, 2025
Mar 28, 2018$0 then
State-registered IARs (5.B.3)14,549 as of Feb 14, 2025
Mar 28, 20180 then
Employees (5.A)15,424 as of Feb 14, 2025
Mar 28, 20180 then
Private funds: no history
RAUM +0.0% over the last fiscal year+4.1% a year over threeIARs 14,549 to 14,549
Practice profile
derived from the filing of Feb 14, 2025; every figure names its basis
- RAUM per advisor
- $56.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $830,512derivedHNW RAUM over HNW clients
- Average account
- $411,230derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.9derived2,961 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 751,018reportedItem 5.H
- Wrap fee program
- $581BreportedItem 5.I
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$457B56%
- Individuals$247B30%
- Pension and profit-sharing plans$109B13%
- State and municipal entities$5.3B0.6%
- Corporations and businesses$777M0.1%
- Charitable organizations$27.1M0.0%
- Individual clients
- 1,103,013reported
- HNW clients
- 549,755reported
- Pension plan clients
- 8,817reported
- Charitable clients
- 11reported
- Accounts
- 1,991,043reported
- Financial planning clients
- 751,018reported
- Wrap fee programs
- $581B sponsored, $0 managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Matthew Jay Jory to Sound Income Strategies, LLCMar 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Daryl Joseph Martin to Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 31, 2025 · Affiliated broker-dealer or bank to wirehouse
- Joshua Sullivan to Td Private Client Wealth LLCMar 31, 2025 · Affiliated broker-dealer or bank to another
- David Daniel Paulino to U.S. Bancorp Investments, Inc.Mar 31, 2025 · Affiliated broker-dealer or bank to another
- Gregory Stafford Tingey to Tingey Financial Group Inc.Mar 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Bruno M Cunha to Citizens Securities, Inc.Mar 31, 2025 · Affiliated broker-dealer or bank to another
- Chandler Robert Blake to Guidestone AdvisorsMar 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Robert Francis Mammana to Gladstone Wealth PartnersMar 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Justin William Lehkamp to Avantax Advisory ServicesMar 31, 2025 · Affiliated broker-dealer or bank to another
- Michael Aaron Muscato to Voya Financial Advisors, Inc.Mar 31, 2025 · Affiliated broker-dealer or bank to another
- Parker Mayo to Verum Partners LLCMar 31, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew Gregory Castro to Brookstone Capital Management LLCMar 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- Dominick Moscardelli to Charles Schwab & Co., Inc.Mar 11, 2025 · Affiliated broker-dealer or bank to another
- Elijah Joseph Kaufman to MML Investors Services, LLCMar 11, 2025 · Affiliated broker-dealer or bank to another
- Andrew John Lichaj to Wells Fargo AdvisorsMar 11, 2025 · Affiliated broker-dealer or bank to wirehouse
Joined, latest
- Yusei William Shigeta from MML Investors Services, LLCMar 10, 2025 · Affiliated broker-dealer or bank to another
- William Raney from Cambridge Investment Research Advisors, Inc.Mar 10, 2025 · Affiliated broker-dealer or bank to another
- Scott Tolochko from Raymond James Financial Services Advisors, IncMar 7, 2025 · Affiliated broker-dealer or bank to another
- Matthew Ross Rivera from Vance WealthMar 7, 2025 · RIA to affiliated broker-dealer or bank
- Jennifer Talbot from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 6, 2025 · Wirehouse to affiliated broker-dealer or bank
- Alfredo Kenneth Ellzey from UBS Financial Services Inc.Mar 5, 2025 · Wirehouse to affiliated broker-dealer or bank
- Linda Ly from Edward JonesMar 4, 2025 · Affiliated broker-dealer or bank to another
- Courtney Cain from Citigroup Global Markets Inc.Mar 4, 2025 · Affiliated broker-dealer or bank to another
- Katelyn Galante from MML Investors Services, LLCMar 4, 2025 · Affiliated broker-dealer or bank to another
- Kenneth Juan Ray from Raymond James Financial Services Advisors, IncMar 3, 2025 · Affiliated broker-dealer or bank to another
- Eric Goplin from J.P. Morgan Securities LLCFeb 27, 2025 · Wirehouse to affiliated broker-dealer or bank
- John Wapelhorst from Charles Schwab & Co., Inc.Feb 27, 2025 · Affiliated broker-dealer or bank to another
- Austin Michael Sammons from Ameritas Advisory Services, LLCFeb 26, 2025 · Affiliated broker-dealer or bank to another
- Siddhartha Narker from Florida Financial Advisors, LLCFeb 25, 2025 · Affiliated broker-dealer or bank to another
- Janice P Lin from Strategic Advisers LLCFeb 25, 2025 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Wells Fargo AdvisorsJan 31, 2025 · Woodland Hills, Ca
- 2 left for Capital Wealth, LLCJan 30, 2025 · Salt Lake City, Ut
- 3 left for Charles Schwab & Co., Inc.Jan 27, 2025 · Trophy Club, Tx
- 2 left for Empower Advisory Group, LLCJan 6, 2025 · Greenwood Village, Co
- 2 left for Empower Advisory Group, LLCJan 6, 2025 · Durham, Nc
- 2 left for Morgan StanleyJan 6, 2025 · Jacksonville, Fl
- 2 left for J.P. Morgan Securities LLCJan 6, 2025 · New York, Ny
- 2 left for Morgan StanleyJan 6, 2025 · American Fork, Ut
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 9, 2024 · San Jose, Ca
- 2 joined from LPL Financial LLCNov 7, 2024 · Missouri City, Tx
- 2 joined from Charles Schwab & Co., Inc.Oct 11, 2024 · San Mateo, Ca
- 3 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 30, 2024 · Alta Loma, Ca
- 2 joined from Vanguard Advisers, Inc.Aug 22, 2024 · Malvern, Pa
- 2 joined from Morgan StanleyAug 15, 2024 · Newport Beach, Ca
- 2 joined from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 29, 2024 · El Segundo, Ca
- 2 joined from Ameriprise Financial Services, LLCJul 25, 2024 · Las Vegas, Nv
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gray Richard Compson · Elected Manager/Presidentcontrolsince 11/2022 · owns less than 5%
- Leigh Brandon Lamb · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- Glorie Karim Lynn · Chief Legal Officer/Secretarycontrolsince 04/2017 · owns less than 5%
- Michael Kevin Mclaughlin · Chief Financial Officercontrolsince 11/2022 · owns less than 5%
- (Nmn) Sangeeta Moorjani · Elected Managercontrolsince 10/2019 · owns less than 5%
- Brechner Wilson Owens · Elected Managercontrolsince 12/2021 · owns less than 5%
- (Nmn) David Peterson · Elected Managercontrolsince 01/2019 · owns less than 5%
- Eric Peter Wiemeyer · Elected Managercontrolsince 10/2023 · owns less than 5%
- Crosby Edward Johnson IV · Elected Managercontrolsince 04/2006 · owns F of Fmr LLC
- Pierrepont Abigail Johnson · Elected Managercontrolsince 05/1994 · owns F of Fmr LLC
- John Gerard Mcgraw · Elected Managercontrolsince 10/2014 · owns F of Fmr LLC
- Charles Stephen Neff · Elected Managercontrolsince 04/2023 · owns F of Fmr LLC
- Engber Michael Wilens · Elected Managercontrolsince 10/2014 · owns F of Fmr LLC
Entity owners
- Fidelity Advisory Holdings LLC · Memberdirect · owns 75% or more
- Fmr LLC · Memberindirect · owns 75% or more of Fidelity Advisory Holdings LLC
Related persons
Schedule D 7.A
- 42 North Resource Partners Advisors II LPpooled vehicle sponsorn
- 42 North Resource Partners Advisors LPpooled vehicle sponsorn
- Agilus Ventures Advisors IV Limited Partnershippooled vehicle sponsorn
- Alimont Ventures Advisors V Limited Partnershippooled vehicle sponsorn
- Avon Venture Advisors Fund I LPpooled vehicle sponsorn
- Avon Venture Advisors Fund II LPpooled vehicle sponsorn
- Ballyrock Investment Advisors LLCinvestment advisernRAUM $11B
- Di Consumer Advisors Fund I LPpooled vehicle sponsorn
- Di Opportunity Advisors Fund LPpooled vehicle sponsorn
- Digital Brokerage Services LLCbroker-dealern
- Empire Fidelity Investments Life Insurance Companyreal estaten
- F-Prime Capital Partners Healthcare Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund III LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund IV LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund IV-A LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund V LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund III LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Vi LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Vii LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Viii LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund 2021 LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund LPpooled vehicle sponsorn
- F-Prime Cp Hits Advisors Fund LPpooled vehicle sponsorn
- Fiam Index Fund Gp, LLCbankpooled vehicle sponsorn
- Fiam Institutional Funds Manager, LLCbankpooled vehicle sponsorn
- Fiam LLCinvestment adviserbankLP sponsornRAUM $348B
- Fidelity Brokerage Services LLCbroker-dealern
Advisers that list Fidelity Personal And Workplace Advisors as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Albany, Ny | 0 | 0 | 0 | ||
| Allentown, Pa | 0 | 0 | 0 | ||
| Alpharetta, Ga | 0 | 0 | 0 | ||
| Altamonte Springs, Fl | 0 | 0 | 0 | ||
| American Fork, Ut | 0 | 0 | 0 | ||
| Ann Arbor, Mi | 0 | 0 | 0 | ||
| Annapolis, Md | 0 | 0 | 0 | ||
| Atlanta, Ga | 0 | 0 | 0 | ||
| Austin, Tx | 0 | 0 | 0 | ||
| Beavercreek, Oh | 0 | 0 | 0 | ||
| Beaverton, Or | 0 | 0 | 0 | ||
| Bedford, Nh | 0 | 0 | 0 | ||
| Bellevue, Wa | 0 | 0 | 0 | ||
| Berkeley, Ca | 0 | 0 | 0 | ||
| Bethesda, Md | 0 | 0 | 0 | ||
| Birmingham, Al | 0 | 0 | 0 | ||
| Bloomfield, Ct | 0 | 0 | 0 | ||
| Boise, Id | 0 | 0 | 0 | ||
| Boston, Ma · principal | 0 | 0 | 0 | ||
| Brea, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Westlake, TX1,271 employees
- Salt Lake City, UT1,013 employees
- Covington, KY892 employees
- Merrimack, NH757 employees
- Jacksonville, FL714 employees
- Greenwood Village, CO670 employees
- Durham, NC429 employees
- Covington, KY267 employees
- Smithfield, RI256 employees
- Boston, MA256 employees
- Merrimack, NH167 employees
- Covington, KY121 employees
- Salt Lake City, UT80 employees
- Atlanta, GA78 employees
- Burlington, MA77 employees
- Sarasota, FL68 employees
- Nashua, NH68 employees
- Cincinnati, OH68 employees
- Lone Tree, CO60 employees
- Bellevue, WA59 employees
- Boston, MA59 employees
- Framingham, MA59 employees
- Plano, TX58 employees
- Scottsdale, AZ58 employees
- Houston, TX58 employees
What changed
consecutive filings, newest first
- Accounts · 1,712,247 to 1,991,043Feb 20, 2024 to Mar 28, 2024
- Advisory employees · 13,507 to 15,424Feb 20, 2024 to Mar 28, 2024
- BD registered reps · 13,323 to 15,281Feb 20, 2024 to Mar 28, 2024
- Corporate clients · 382 to 375Feb 20, 2024 to Mar 28, 2024
- HNW clients · 433,897 to 549,755Feb 20, 2024 to Mar 28, 2024
- Individual clients · 978,618 to 1,103,013Feb 20, 2024 to Mar 28, 2024
- Pension plan clients · 8,059 to 8,817Feb 20, 2024 to Mar 28, 2024
- Employees · 13,507 to 15,424Feb 20, 2024 to Mar 28, 2024
- State-registered IARs · 12,550 to 14,549Feb 20, 2024 to Mar 28, 2024
- Other offices · 3,093 to 2,960Feb 20, 2024 to Mar 28, 2024
- Discretionary RAUM · $653B to $819BFeb 20, 2024 to Mar 28, 2024
- HNW RAUM · $339B to $457BFeb 20, 2024 to Mar 28, 2024
- Individual RAUM · $227B to $247BFeb 20, 2024 to Mar 28, 2024
- Pension RAUM · $82B to $109BFeb 20, 2024 to Mar 28, 2024
- RAUM · $653B to $819BFeb 20, 2024 to Mar 28, 2024
- Wrap assets (sponsor) · $559B to $581BFeb 20, 2024 to Mar 28, 2024
- Accounts · 1,509,611 to 1,712,247Feb 14, 2023 to Mar 28, 2023
- Advisory employees · 11,220 to 13,507Feb 14, 2023 to Mar 28, 2023
- Advisory activities · 6 to 5Feb 14, 2023 to Mar 28, 2023
- BD registered reps · 11,010 to 13,323Feb 14, 2023 to Mar 28, 2023
- Charity clients · 9 to 11Feb 14, 2023 to Mar 28, 2023
- Corporate clients · 367 to 382Feb 14, 2023 to Mar 28, 2023
- HNW clients · 433,469 to 433,897Feb 14, 2023 to Mar 28, 2023
- Individual clients · 816,477 to 978,618Feb 14, 2023 to Mar 28, 2023
- Pension plan clients · 7,461 to 8,059Feb 14, 2023 to Mar 28, 2023
- Employees · 11,220 to 13,507Feb 14, 2023 to Mar 28, 2023
- State-registered IARs · 10,307 to 12,550Feb 14, 2023 to Mar 28, 2023
- Other offices · 3,180 to 3,093Feb 14, 2023 to Mar 28, 2023
- Discretionary RAUM · $727B to $653BFeb 14, 2023 to Mar 28, 2023
- HNW RAUM · $401B to $339BFeb 14, 2023 to Mar 28, 2023
- Individual RAUM · $229B to $227BFeb 14, 2023 to Mar 28, 2023
- Pension RAUM · $95B to $82BFeb 14, 2023 to Mar 28, 2023
- RAUM · $727B to $653BFeb 14, 2023 to Mar 28, 2023
- Wrap assets (sponsor) · $625B to $559BFeb 14, 2023 to Mar 28, 2023
- Accounts · 1,216,586 to 1,509,611Jan 20, 2022 to Mar 28, 2022
- Advisory employees · 9,235 to 11,220Jan 20, 2022 to Mar 28, 2022
- BD registered reps · 9,207 to 11,010Jan 20, 2022 to Mar 28, 2022
- Corporate clients · 7,975 to 367Jan 20, 2022 to Mar 28, 2022
- HNW clients · 294,375 to 433,469Jan 20, 2022 to Mar 28, 2022
- Individual clients · 701,746 to 816,477Jan 20, 2022 to Mar 28, 2022
Signals
60 dated events
- Fidelity Personal And Workplace Advisors no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $818.8B)May 2, 2025 · Left the SEC roster · derived
- Chandler Robert Blake left Fidelity Personal And Workplace Advisors for Guidestone Advisors (registered 2025-03-18)Mar 31, 2025 · Advisor changed firm · fact
- Gregory Stafford Tingey left Fidelity Personal And Workplace Advisors for Tingey Financial Group Inc. (registered 2025-04-01)Mar 31, 2025 · Advisor changed firm · fact
- Robert Francis Mammana left Fidelity Personal And Workplace Advisors for Gladstone Wealth Partners (registered 2025-03-26)Mar 31, 2025 · Advisor changed firm · fact
- Joshua Sullivan left Fidelity Personal And Workplace Advisors for Td Private Client Wealth Llc (registered 2025-03-27)Mar 31, 2025 · Advisor changed firm · fact
- Parker Mayo left Fidelity Personal And Workplace Advisors for Verum Partners Llc (registered 2025-03-12)Mar 31, 2025 · Advisor changed firm · fact
- David Daniel Paulino left Fidelity Personal And Workplace Advisors for U.S. Bancorp Investments, Inc. (registered 2025-03-25)Mar 31, 2025 · Advisor changed firm · fact
- Matthew Jay Jory left Fidelity Personal And Workplace Advisors for Sound Income Strategies, Llc (registered 2025-03-27)Mar 31, 2025 · Advisor changed firm · fact
- Justin William Lehkamp left Fidelity Personal And Workplace Advisors for Avantax Advisory Services (registered 2025-04-01)Mar 31, 2025 · Advisor changed firm · fact
- Michael Aaron Muscato left Fidelity Personal And Workplace Advisors for Voya Financial Advisors, Inc. (registered 2025-03-24)Mar 31, 2025 · Advisor changed firm · fact
- Bruno M Cunha left Fidelity Personal And Workplace Advisors for Citizens Securities, Inc. (registered 2025-03-17)Mar 31, 2025 · Advisor changed firm · fact
- Daryl Joseph Martin left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-03-26)Mar 31, 2025 · Advisor changed firm · fact
- Andrew Gregory Castro left Fidelity Personal And Workplace Advisors for Brookstone Capital Management Llc (registered 2025-04-17)Mar 12, 2025 · Advisor changed firm · fact
- Andrew John Lichaj left Fidelity Personal And Workplace Advisors for Wells Fargo Advisors (registered 2025-05-19)Mar 11, 2025 · Advisor changed firm · fact
- Elijah Joseph Kaufman left Fidelity Personal And Workplace Advisors for Mml Investors Services, Llc (registered 2025-03-24)Mar 11, 2025 · Advisor changed firm · fact
- Dominick Moscardelli left Fidelity Personal And Workplace Advisors for Charles Schwab & Co., Inc. (registered 2025-03-31)Mar 11, 2025 · Advisor changed firm · fact
- Seth Houston French left Fidelity Personal And Workplace Advisors for Fisher Investments (registered 2025-03-13)Mar 10, 2025 · Advisor changed firm · fact
- Marcus Elliot Rose left Fidelity Personal And Workplace Advisors for Teeple Snyder Newsome Wealth & Tax Management (registered 2025-03-06)Mar 10, 2025 · Advisor changed firm · fact
- Brandon Charles Aguilar Gunderson left Fidelity Personal And Workplace Advisors for Wells Fargo Advisors (registered 2025-03-03)Mar 7, 2025 · Advisor changed firm · fact
- Amanda Clair Lepla left Fidelity Personal And Workplace Advisors for Raymond James Financial Services Advisors, Inc (registered 2025-03-10)Mar 6, 2025 · Advisor changed firm · fact
- Justin Logan left Fidelity Personal And Workplace Advisors for Empower Advisory Group, Llc (registered 2025-03-06)Mar 5, 2025 · Advisor changed firm · fact
- Cameron Lane left Fidelity Personal And Workplace Advisors for Alliancebernstein L.P. (registered 2025-06-03)Mar 5, 2025 · Advisor changed firm · fact
- Jason Seeger left Fidelity Personal And Workplace Advisors for J.P. Morgan Securities Llc (registered 2025-03-04)Mar 5, 2025 · Advisor changed firm · fact
- Alyssa M Linn left Fidelity Personal And Workplace Advisors for Morgan Stanley (registered 2025-03-19)Mar 5, 2025 · Advisor changed firm · fact
- Michael Ronald Messenger left Fidelity Personal And Workplace Advisors for Voya Retirement Advisors, Llc (registered 2025-04-04)Mar 5, 2025 · Advisor changed firm · fact
- Christopher Michael Luciano left Fidelity Personal And Workplace Advisors for Charles Schwab & Co., Inc. (registered 2025-04-02)Mar 4, 2025 · Advisor changed firm · fact
- Parker George Payne left Fidelity Personal And Workplace Advisors for Ubs Financial Services Inc. (registered 2025-03-25)Mar 3, 2025 · Advisor changed firm · fact
- Shaun Michael Felber left Fidelity Personal And Workplace Advisors for Principal Advised Services (registered 2026-02-06)Mar 3, 2025 · Advisor changed firm · fact
- Patrick Magnuszewski left Fidelity Personal And Workplace Advisors for Q3 Advisors, Llc (registered 2025-03-19)Mar 3, 2025 · Advisor changed firm · fact
- Shaila Griffis left Fidelity Personal And Workplace Advisors for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-05-02)Mar 3, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026