Andrew Maxwell Scates

Employer firm

Fisher Investments CRD 107342

$387B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• PORTFOLIO ASSESSMENT

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2015 → 10/2017
  Fidelity Brokerage Services Llc
  Westlake, TX
• 10/2017 → 01/2021
  The Ayco Company, L.P./Mercer Allied
  Dallas, TX
• 01/2021 → 03/2025
  Goldman Sachs & Co. Llc
  New York, NY
• 03/2025 → Present
  Fisher Investments
  Plano, TX

Previous Registrations

• 2017-11-03 → 2024-10-10
  Goldman Sachs Wealth Services, L.P.
  Dallas, TX
  Irving, TX
  Dallas, TX
• 2016-01-14 → 2017-10-09
  Strategic Advisers Llc
  Westlake, TX

Exams

• S66 Uniform Combined State Law Examination
  2015-12-30
• S63 Uniform Securities Agent State Law Examination
  2015-04-30

Designations

• Certified Financial Planner