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.

SEC-registered adviser

Fisher\Smb

Institutional managerCarrollton, TexasCRD 331205SEC 801-130272websiteIAPD
Legal name Fisher Retirement Solutions LLC
Latest filing Jun 4, 2026
First filing on the tape Apr 12, 2024 · 14 filings
SEC status approved since May 31, 2024
RAUM
$6.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
66
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
159
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$6.8B as of Jun 4, 2026
Mar 26, 2025$5.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)49 as of Jun 4, 2026
Mar 26, 202531 then
Employees (5.A)159 as of Jun 4, 2026
Mar 26, 2025133 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 31 to 49
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
33.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+58%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$6.8B99%
  • State and municipal entities$96.1M1.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1,839reported
Charitable clients
n/areported
Accounts
1,848reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
68 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
John J KleinCarrollton, TxJul 2, 202420 y4
Hayden Matthew LackeyCarrollton, TxJul 3, 202416 y5
Austin Alexander HackbarthCarrollton, TxJul 3, 202410 y1
Timothy John KroonVancouver, Wa Jul 5, 202423 y5
Christopher Thomas Edar-AllredCarrollton, Tx Jul 5, 202410 y1
Armando NeriVancouver, Wa Jul 5, 202412 y1
Colin Andrew SmithCamas, Wa Jul 5, 202423 y1
Jasper Elwood MallardCarrollton, Tx Jul 5, 202419 y5
Chen-Han WangCarrollton, TxJul 5, 202415 y2
Eric Scott SurplusCarrollton, TxJul 5, 202411 y3
Bruce Henry SimpsenCarrollton, TxJul 8, 202420 y1
Alexander Huckleberry QueenCarrollton, TxJul 8, 202420 y1
David Lloyd AllredCarrollton, Tx Jul 8, 202420 y5
Alexander Burnett Richholt-BudihasCarrollton, Tx Jul 8, 202415 y1
Collin Bishop FosterVancouver, Wa Jul 8, 202414 y1
Tyler SchroederCarrollton, TxJul 8, 202411 y2
Lucero Rodriguez PonceCarrollton, TxJul 8, 202411 y3
Jason Wayne PackhamCarrollton, Tx Jul 9, 202424 y1
Phong Quoc BuiCarrollton, Tx Jul 9, 202410 y1
Nathan Carlyle FisherCarrollton, TxJul 11, 202420 y1
Heather Suzanne WolfsmithVancouver, Wa Jul 11, 202410 y1
Brian Paul GriffithCarrollton, Tx Jul 11, 202419 y4
Matthew Mark HuddlestonAustin, Tx Jul 11, 202429 y1
Gregory Scott GroomsEagle Mountain, Ut Jan 3, 202512 y2
Eleazar AvalosCarrollton, TxMay 12, 202518 y0
Andrew Joseph FadenrechtCarrollton, Tx May 21, 202518 y1
Julia Anne JohnsonCarrollton, Tx May 21, 202511 y1
Andrew Michael BelvinCarrollton, Tx May 21, 202511 y1
Kyle Asa ClarkVancouver, Wa May 21, 202512 y1
Dylan Walker MarksVancouver, Wa May 21, 202513 y1
Jason Charles ErwinCarrollton, Tx May 21, 202510 y1
Jack Ryan HealyCarrollton, TxMay 21, 202513 y1
Thomas OxendineCarrollton, TxMay 21, 202513 y1
Nichole Lee CangaCarrollton, TxMay 21, 202510 y1
Kimberly Nicole EllisCarrollton, TxAug 31, 202516 y4
Andrew CrimCarrollton, TxSep 5, 202517 y3
James DavisCarrollton, TxSep 29, 202510 y0
Itati Tapia ChavezCarrollton, TxOct 15, 202515 y1
Jose Luis Leyva-HernandezVancouver, Wa Oct 21, 202510 y0
Micaias RodriguezCarrollton, TxNov 24, 202511 y0
All 68 advisors at Fisher\Smb
Advisor movement
4 left, 14 joined in 12 months
net +10 in 12 months0 left in 90 days5 joined in 90 daysdeparture rate 6.1% of current headcount5 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Carlyle Nathan Fisher · Chief Executive Officer, Chief Compliance Officercontrol
    since 04/2024 · owns less than 5%
  • Carlyle Nathan Fisher · Trusteecontrol
    since 07/2024 · owns F of 2008 Fisher Family Irrevocable Trust
Entity owners
  • Fisher Retirement Solutions, Inc · Owner
    direct · owns 75% or more
  • 2008 Fisher Family Irrevocable Trust · Owner
    indirect · owns 75% or more of Fisher Retirement Solutions, Inc
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Carrollton, Tx · principal68324
Vancouver, Wa2380
Offices
Schedule D 1.F, the 25 largest
  • Vancouver, WA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • advisor count surgeChange between filings · filing Mar 24, 2026
    advisory representatives (Item 5.B.3) moved from 31.0 to 49.0 (+58.0%) between the annual amendments of 2025-03-26 and 2026-03-24; the peer median change was 0.0% (21 comparable advisers, 100.0th percentile of changes)
    peers: institutional managers, $5B to $20B (21) · 100% percentile
How anomalies are measured
What changed
consecutive filings, newest first
  • HQ city · PLANO to CARROLLTON
    Mar 24, 2026 to Jun 4, 2026
  • Accounts · 1,768 to 1,848
    Jun 20, 2025 to Mar 24, 2026
  • Advisory activities · 2 to 3
    Jun 20, 2025 to Mar 24, 2026
  • Employees · 133 to 159
    Jun 20, 2025 to Mar 24, 2026
  • State-registered IARs · 31 to 49
    Jun 20, 2025 to Mar 24, 2026
  • Discretionary RAUM · $5.5B to $6.8B
    Jun 20, 2025 to Mar 24, 2026
  • Pension RAUM · $5.4B to $6.8B
    Jun 20, 2025 to Mar 24, 2026
  • RAUM · $5.5B to $6.8B
    Jun 20, 2025 to Mar 24, 2026
  • Business name · FISHER RETIREMENT SOLUTIONS LLC to FISHER\SMB
    Mar 26, 2025 to Jun 20, 2025
  • Financial planning clients · unset to
    Mar 26, 2025 to Jun 20, 2025
  • Accounts · 1,718 to 1,768
    Dec 2, 2024 to Mar 26, 2025
  • Pension plan clients · 1,782 to 1,839
    Dec 2, 2024 to Mar 26, 2025
  • Employees · 131 to 133
    Dec 2, 2024 to Mar 26, 2025
  • Discretionary RAUM · $4.9B to $5.5B
    Dec 2, 2024 to Mar 26, 2025
  • Pension RAUM · $4.9B to $5.4B
    Dec 2, 2024 to Mar 26, 2025
  • RAUM · $4.9B to $5.5B
    Dec 2, 2024 to Mar 26, 2025
  • Related adviser · true to false
    Dec 2, 2024 to Mar 26, 2025
  • Accounts · 0 to 1,718
    Aug 5, 2024 to Sep 27, 2024
  • Advisory employees · 1 to 4
    Aug 5, 2024 to Sep 27, 2024
  • Pension plan clients · unset to 1782.0
    Aug 5, 2024 to Sep 27, 2024
  • Employees · 1 to 131
    Aug 5, 2024 to Sep 27, 2024
  • Insurance-licensed employees · 1 to 0
    Aug 5, 2024 to Sep 27, 2024
  • State-registered IARs · 0 to 31
    Aug 5, 2024 to Sep 27, 2024
  • Discretionary RAUM · $0 to $4.9B
    Aug 5, 2024 to Sep 27, 2024
  • Pension RAUM · unset to 4854810906.0
    Aug 5, 2024 to Sep 27, 2024
  • RAUM · $0 to $4.9B
    Aug 5, 2024 to Sep 27, 2024
  • Other offices · 0 to 1
    May 23, 2024 to Jul 1, 2024
  • Related adviser · false to true
    Apr 12, 2024 to Apr 22, 2024
Signals
13 dated events
  • John Thomas Landers registered as an investment adviser representative at Fisher\Smb
    Sep 16, 2026 · Advisor registered · fact
  • Robert Patrick Olson registered as an investment adviser representative at Fisher\Smb
    Sep 15, 2026 · Advisor registered · fact
  • Fisher\Smb reported RAUM $6.8B, up 25% from $5.5B (2025-06-20 to 2026-03-24)
    Mar 24, 2026 · RAUM change · derived
  • Fisher\Smb reported 49 state-registered advisory representatives, up from 31 (2025-06-20 to 2026-03-24)
    Mar 24, 2026 · Advisor headcount change · derived
  • Paul Andrew Dyson left Fisher\Smb for Edelman Financial Engines (registered 2026-03-17)
    Mar 23, 2026 · Advisor changed firm · fact
  • James Warren West left Fisher\Smb for Edelman Financial Engines (registered 2026-03-16)
    Mar 2, 2026 · Advisor changed firm · fact
  • Joel Antonio Romero left Fisher\Smb for Mariner (registered 2025-12-17)
    Dec 9, 2025 · Advisor changed firm · fact
  • Nicholas Wolejsza left Fisher\Smb for Wealth Enhancement Advisory Services, Llc (registered 2025-11-19)
    Nov 18, 2025 · Advisor changed firm · fact
  • Shawn Startti left Fisher\Smb for Gallagher Fiduciary Advisors, Llc (registered 2025-07-29)
    Jul 18, 2025 · Advisor changed firm · fact
  • Fisher\Smb reported 31 state-registered advisory representatives, up from 0 (2024-08-05 to 2024-09-27)
    Sep 27, 2024 · Advisor headcount change · derived
  • Lawrence Kenneth Fisher (Trustee) no longer on Schedule A of Fisher\Smb (listed 2024-05-23, absent 2024-07-01)
    Jul 1, 2024 · Control person left · inference
  • Lawrence Kenneth Fisher (Trustee) appeared on Schedule A of Fisher\Smb
    Apr 22, 2024 · Control person joined · fact
  • Fisher Retirement Solutions Llc filed its initial SEC registration (Form ADV)
    Apr 12, 2024 · 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.
How to reach
public business contact points only, each with its source
Firm profile
linkedin.com/company/fishersmbreportedpublic record, Form ADV, Sep 17, 2026
Website
fishersmb.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
888-674-4504reportedpublic record, Form ADV, Jun 4, 2026
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
Institutional managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$104Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026