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RIA / WealthAdvisor25 years in industry

NICHOLAS JAMES BERTHA

Advisor at HAMPSHIRE FAMILY OFFICE

GILFORD, NH | New York, NY

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Search this name across graphsid dfx:ria:07d08d46-a3f6-3bd0-4a97-952ede7049cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 13, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HAMPSHIRE FAMILY OFFICE
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 13, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jun 28, 2005
First registration: Apr 13, 2001
Dual registered: no
Other names: NICHOLAS JAMES BERTHA|NICHOLAS JAMES BERTHA
IAPD individual key: 1978310

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HAMPSHIRE FAMILY OFFICE	Independent wealth	Jun 21, 2023	n/a	yes	New York, NY\|GILFORD, NH	Current employment
DOMINARI SECURITIES LLC	Independent wealth	Jun 7, 2012	Nov 30, 2022	no	NEW YORK, NY\|New York, NY\|NEW YORK, NY	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Sep 27, 2006	May 8, 2008	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
ROBERTSON STEPHENS, INC.	n/a	Apr 13, 2001	Jul 25, 2002	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DOMINARI SECURITIES LLC	HAMPSHIRE FAMILY OFFICE	Nov 30, 2022	Jun 21, 2023	203	Firm change	RIA to RIA
CREDIT SUISSE SECURITIES (USA) LLC	DOMINARI SECURITIES LLC	May 8, 2008	Jun 7, 2012	1,491	Firm change after gap	Other
ROBERTSON STEPHENS, INC.	CREDIT SUISSE SECURITIES (USA) LLC	Jul 25, 2002	Sep 27, 2006	1,525	Firm change after gap	Other

Relationships

Registered with (4)

→ HAMPSHIRE FAMILY OFFICERegistered adviserregistration: current employment
Jun 21, 2023 to presentfactForm ADV
→ DOMINARI SECURITIES LLCRegistered adviserregistration: previous registration
Jun 7, 2012 to Nov 30, 2022factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Sep 27, 2006 to May 8, 2008factForm ADV
→ ROBERTSON STEPHENS, INC.Registered adviserregistration: previous registration
Apr 13, 2001 to Jul 25, 2002factForm ADV

Dated events

Occurred
Nov 30, 2022
Advisor changed firm
Nicholas James Bertha left Dominari Securities Llc for Hampshire Family Office (registered 2023-06-21)
Form ADVobserved 5 days ago