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RIA / WealthAdvisorCertified Financial Planner20 years in industry

NICHOLAS FRANK NAUTA

Advisor at SHOTWELL RUTTER BAER INC

LANSING, MI

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Search this name across graphsid dfx:ria:35cfca68-5d74-7b2b-cbcb-d2f64a7c4c52

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 3, 2006 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: SHOTWELL RUTTER BAER INC
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: Jan 11, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 6
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 11, 2006
First registration: Oct 3, 2006
Dual registered: no
IAPD individual key: 5062316

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
SHOTWELL RUTTER BAER INC	Independent wealth	Feb 7, 2019	n/a	yes	LANSING, MI	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Nov 10, 2015	Feb 13, 2019	no	Lansing, MI	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Oct 11, 2011	Nov 6, 2015	no	OKEMOS, MI\|SAN DIEGO, CA\|LANSING, MI\|LANSING, MI	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Dec 12, 2008	Sep 16, 2011	no	LANSING, MI\|LANSING, MI\|OKEMOS, MI	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Oct 3, 2006	Dec 5, 2008	no	EAST LANSING, MI\|LANSING, MI\|OKEMOS, MI\|LANSING, MI\|MASON, MI	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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	SHOTWELL RUTTER BAER INC	Feb 13, 2019	Feb 7, 2019	-6	Firm change	Ibd to RIA
CUSO FINANCIAL SERVICES, L.P.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Nov 6, 2015	Nov 10, 2015	4	Firm change	Other
CUNA BROKERAGE SERVICES, INC.	CUSO FINANCIAL SERVICES, L.P.	Sep 16, 2011	Oct 11, 2011	25	Firm change	Other
FIFTH THIRD SECURITIES, INC.	CUNA BROKERAGE SERVICES, INC.	Dec 5, 2008	Dec 12, 2008	7	Firm change	Other

Relationships

Registered with (5)

→ SHOTWELL RUTTER BAER INCRegistered adviserregistration: current employment
Feb 7, 2019 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Nov 10, 2015 to Feb 13, 2019factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Oct 11, 2011 to Nov 6, 2015factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Dec 12, 2008 to Sep 16, 2011factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Oct 3, 2006 to Dec 5, 2008factForm ADV

Dated events

No dated event names this entity yet.