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Chief Compliance Officer · Fisher Investments

Thomas C. Fishel

CRD 1157055 · Named on Form ADV at one SEC-registered adviser

At a glance

Fisher Investments, an SEC-registered wealth manager based in Plano, TX with $386.7 billion in regulatory assets, lists Thomas C. Fishel on its Form ADV as Chief Compliance Officer.

Firms and roles

  • Fisher InvestmentsChief Compliance OfficerWealth manager · Plano, TX · $387B in regulatory assets

AtlasMembers

Thomas’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Kenneth L. FisherExecutive Chairman, Chairman Board of Managers, Co-Chief Investment Officer, Investment Policy Committee, Fisher Investments
  • Damian D. OrnaniChief Executive Officer, Board of Managers, Fisher Investments
  • David M. MussaferBoard of Managers, Fisher Investments

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Thomas’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.