Ashlee E. Sample

DIMENSIONAL FUND ADVISORS LP

Austin, TX 78746

Some features on this profile are disabled

CRD#: 7558904

Professional summary

Ashlee E Sample, who also goes by Ashlee Sample, is a registered financial advisor currently at DIMENSIONAL FUND ADVISORS LP located in Austin, Texas and DFA SECURITIES LLC located in Austin, Texas.

Ashlee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Ashlee has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ashlee Sample

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashlee E Sample's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 12, 2024 - Present

DIMENSIONAL FUND ADVISORS LP

Office #1: 6300 Bee Cave Road Building One, Austin, TX 78746

RIA

CRD#: 106482

Austin, TX

Current

December 12, 2024 - Present

DFA SECURITIES LLC

Office #1: Palisades West, Building One 6300 Bee Cave Road, Austin, TX 78746

CRD#: 10292

Austin, TX

Past

September 25, 2023 - November 26, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Denver, CO

Past

August 16, 2023 - November 26, 2024

MORGAN STANLEY

CRD#: 149777

Denver, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DIMENSIONAL FUND ADVISORS LP

DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA

Registered Investment Advisory firm - (8/26/1981 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(12/12/2024)

IAR

Texas
(12/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/25/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/16/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/1/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

DIMENSIONAL FUND ADVISORS LP

DIMENSIONAL FUND ADVISORS INC | DIMENSIONAL FUND ADVISORS LP | DIMENSIONAL FUND ADVISORS INC.

CRD#: 106482 / SEC#: 801-16283

RIA

Registered Investment Advisory firm - (8/26/1981 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6300 Bee Cave Road Building One, Austin, TX 78746

Mailing Address

Phone number

(512) 306-7400

Established

Firm type

Fiscal year end

# of Employees

1,135

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DIMENSIONAL FUND ADVISORS LP FORM ADV PART 2A - ANNUAL AMENDMENT DATED MARCH 31, 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,611
AUM (Assets Under Management)	$ 835,713,261,770

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Steven Gallegos

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Eric Pomerantz

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Austin, TX

Jeffrey Weeks

ATX PORTFOLIO ADVISORS, LLC

IAR

Austin, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ashlee E. Sample

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ashlee E Sample's CRS (Customer Relationship Summary).

Certified licenses

Experience

DFA SECURITIES LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

DIMENSIONAL FUND ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 9/25/2023

Series 7TO

Date: 8/16/2023

SIE

Date: 8/1/2022

FINRA

Current Firm

DIMENSIONAL FUND ADVISORS LP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIMENSIONAL FUND ADVISORS LP

TRUST BUT VERIFY

Similar Advisors