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RIA / WealthAdvisorCertified Financial Planner12 years in industry

NICHOLAS STEVEN HENGL

Advisor at MARINER

Pleasant Hill, CA | Walnut Creek, CA

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Search this name across graphsid dfx:ria:3498bc59-8e76-cae6-c30e-a3efebbd6782

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Feb 3, 2014 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: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 6, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66|S65
First exam: Dec 6, 2013
First registration: Feb 3, 2014
Dual registered: no
Other names: NICK STEVEN HENGL|Nicholas S Hengl|Nicholas Hengl|Nick S Hengl|Nick Hengl
IAPD individual key: 6256081

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
Mariner	Bd affiliated wealth	Sep 17, 2025	n/a	yes	Walnut Creek, CA\|Pleasant Hill, CA	Current employment
DALEWOOD WEALTH MANAGEMENT, LLC	n/a	Dec 4, 2024	Sep 17, 2025	no	WALNUT CREEK, CA	Previous registration
HFG ADVISORS, INC.	Independent wealth	May 6, 2022	Nov 6, 2024	no	Berkeley, CA\|KENNEWICK, WA	Previous registration
PRIME WEALTH MANAGEMENT	n/a	Nov 23, 2021	Feb 25, 2022	no	BERKELEY, CA	Previous registration
FISHER INVESTMENTS	Independent wealth	Mar 26, 2019	Nov 3, 2021	no	SAN MATEO, CA\|PLANO, TX	Previous registration
EDWARD JONES	National bd RIA	Feb 3, 2014	Sep 10, 2014	no	ST LOUIS, MO\|WALNUT CREEK, CA\|WALNUT CREEK, CA	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
DALEWOOD WEALTH MANAGEMENT, LLC	Mariner	Sep 17, 2025	Sep 17, 2025	0	Firm change	Other
HFG ADVISORS, INC.	DALEWOOD WEALTH MANAGEMENT, LLC	Nov 6, 2024	Dec 4, 2024	28	Firm change	Other
PRIME WEALTH MANAGEMENT	HFG ADVISORS, INC.	Feb 25, 2022	May 6, 2022	70	Firm change	Other
FISHER INVESTMENTS	PRIME WEALTH MANAGEMENT	Nov 3, 2021	Nov 23, 2021	20	Firm change	Other
EDWARD JONES	FISHER INVESTMENTS	Sep 10, 2014	Mar 26, 2019	1,658	Firm change after gap	Ibd to RIA

Relationships

Registered with (6)

→ MARINERRegistered adviserregistration: current employment
Sep 17, 2025 to presentfactForm ADV
→ DALEWOOD WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 4, 2024 to Sep 17, 2025factForm ADV
→ HFG ADVISORS, INC.Registered adviserregistration: previous registration
May 6, 2022 to Nov 6, 2024factForm ADV
→ PRIME WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 23, 2021 to Feb 25, 2022factForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Mar 26, 2019 to Nov 3, 2021factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 3, 2014 to Sep 10, 2014factForm ADV

Dated events

Occurred
Sep 17, 2025
Advisor changed firm
Nicholas Steven Hengl left Dalewood Wealth Management, Llc for Mariner (registered 2025-09-17)
Form ADVobserved 5 days ago
Occurred
Nov 6, 2024
Advisor changed firm
Nicholas Steven Hengl left Hfg Advisors, Inc. for Dalewood Wealth Management, Llc (registered 2024-12-04)
Form ADVobserved 5 days ago
Occurred
Feb 25, 2022
Advisor changed firm
Nicholas Steven Hengl left Prime Wealth Management for Hfg Advisors, Inc. (registered 2022-05-06)
Form ADVobserved 5 days ago