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

Fisher Financial Advisors LLC

Former SEC-registered adviserHanover, New HampshireCRD 289411SEC 801-111086IAPD
Latest filing Mar 20, 2024
First filing on the tape Aug 2, 2017 · 27 filings
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$180M as of Mar 20, 2024
Mar 23, 2018$106M then
HNW client RAUM$14.0M as of Mar 20, 2024
Mar 23, 2018$20.0M then
State-registered IARs (5.B.3)2 as of Mar 20, 2024
Mar 23, 20182 then
Employees (5.A)3 as of Mar 20, 2024
Mar 23, 20182 then
Private funds: no history
RAUM +0.0% over the last fiscal year+2.9% a year over threeIARs 2 to 2offices 2 to 1
Practice profile
derived from the filing of Mar 20, 2024; every figure names its basis
RAUM per advisor
$90.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$700,000derivedHNW RAUM over HNW clients
Average account
$232,258derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 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
-92%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$1.0M, 2 clientsreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$100M56%
  • Investment companies$52.5M29%
  • High-net-worth individuals$14.0M7.8%
  • Banks and thrifts$10.0M5.6%
  • Charitable organizations$2.0M1.1%
  • Pension and profit-sharing plans$1.5M0.8%
Individual clients
20reported
HNW clients
20reported
Pension plan clients
8reported
Charitable clients
5reported
Accounts
775reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$1.0M for 2 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Monroe Nathaniel Fisher · Chief Compliance Officercontrol
    since 03/2020 · owns less than 5%
  • Frederick Timothy Fisher · Managing Member And Chief Executive Officercontrol
    since 08/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Hanover, Nh · principal000
Offices
Schedule D 1.F, the 25 largest
  • Chester, VT1 employees
What changed
consecutive filings, newest first
  • Accounts · 958 to 775
    Jul 19, 2023 to Mar 20, 2024
  • Charity clients · 4 to 5
    Jul 19, 2023 to Mar 20, 2024
  • HNW clients · 10 to 20
    Jul 19, 2023 to Mar 20, 2024
  • Individual clients · 498 to 20
    Jul 19, 2023 to Mar 20, 2024
  • Pension plan clients · 1 to 8
    Jul 19, 2023 to Mar 20, 2024
  • Assets in custody · $2.2M to $1.0M
    Jul 19, 2023 to Mar 20, 2024
  • Financial planning clients · 51-100 to 11-25
    Jul 19, 2023 to Mar 20, 2024
  • HNW RAUM · $40.0M to $14.0M
    Jul 19, 2023 to Mar 20, 2024
  • Individual RAUM · $135M to $100M
    Jul 19, 2023 to Mar 20, 2024
  • Pension RAUM · $250,000 to $1.5M
    Jul 19, 2023 to Mar 20, 2024
  • Other offices · 2 to 1
    Jan 26, 2023 to Jul 19, 2023
  • Accounts · 537 to 958
    Oct 20, 2022 to Jan 26, 2023
  • Advisory employees · 4 to 2
    Oct 20, 2022 to Jan 26, 2023
  • HNW clients · 6 to 10
    Oct 20, 2022 to Jan 26, 2023
  • Individual clients · 496 to 498
    Oct 20, 2022 to Jan 26, 2023
  • Assets in custody · $2.5M to $2.2M
    Oct 20, 2022 to Jan 26, 2023
  • Employees · 5 to 3
    Oct 20, 2022 to Jan 26, 2023
  • Financial planning clients · 11-25 to 51-100
    Oct 20, 2022 to Jan 26, 2023
  • State-registered IARs · 4 to 2
    Oct 20, 2022 to Jan 26, 2023
  • Discretionary RAUM · $183M to $180M
    Oct 20, 2022 to Jan 26, 2023
  • HNW RAUM · $42.0M to $40.0M
    Oct 20, 2022 to Jan 26, 2023
  • Individual RAUM · $141M to $135M
    Oct 20, 2022 to Jan 26, 2023
  • Non-discretionary RAUM · $4.8M to $0
    Oct 20, 2022 to Jan 26, 2023
  • Pension RAUM · $2.5M to $250,000
    Oct 20, 2022 to Jan 26, 2023
  • RAUM · $187M to $180M
    Oct 20, 2022 to Jan 26, 2023
  • Advisory employees · 5 to 4
    Jul 13, 2022 to Oct 5, 2022
  • Employees · 6 to 5
    Jul 13, 2022 to Oct 5, 2022
  • Insurance-licensed employees · 1 to 0
    Jul 13, 2022 to Oct 5, 2022
  • State-registered IARs · 5 to 4
    Jul 13, 2022 to Oct 5, 2022
  • Related insurance company · true to false
    Jul 13, 2022 to Oct 5, 2022
  • Insurance-licensed employees · 0 to 1
    Jun 30, 2022 to Jul 13, 2022
  • Related insurance company · false to true
    Jun 13, 2022 to Jun 30, 2022
  • Advisory employees · 6 to 5
    Feb 14, 2022 to Jun 13, 2022
  • BD registered reps · 2 to 1
    Feb 14, 2022 to Jun 13, 2022
  • Employees · 7 to 6
    Feb 14, 2022 to Jun 13, 2022
  • State-registered IARs · 6 to 5
    Feb 14, 2022 to Jun 13, 2022
  • Accounts · 635 to 537
    Nov 2, 2021 to Feb 4, 2022
  • Corporate clients · unset to 0.0
    Nov 2, 2021 to Feb 4, 2022
  • HNW clients · 55 to 6
    Nov 2, 2021 to Feb 4, 2022
  • Individual clients · 546 to 496
    Nov 2, 2021 to Feb 4, 2022
Signals
3 dated events
  • Nathaniel Monroe Fisher left Fisher Financial Advisors Llc for Cwm, Llc (registered 2024-01-29)
    May 10, 2024 · Advisor changed firm · fact
  • Monroe Nathaniel Fisher (Chief Compliance Officer) appeared on Schedule A of Fisher Financial Advisors Llc
    Mar 18, 2020 · Control person joined · fact
  • Fisher Financial Advisors Llc filed its initial SEC registration (Form ADV)
    Aug 2, 2017 · First SEC registration · 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