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RIA / WealthAdvisor30 years in industry

NATHAN JOHN OSTERTAG

Advisor at AEGIS INVESTMENT MANAGEMENT, LLC

RED WING, MN

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Search this name across graphsid dfx:ria:709f2125-3e65-74c8-0102-9a1d1d388548

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

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 27, 2010 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: AEGIS INVESTMENT MANAGEMENT, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 28, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63|S66
First exam: Nov 28, 1995
First registration: Apr 27, 2010
Dual registered: no
Other names: JOHN N OSTERTAG
IAPD individual key: 2453974

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
AEGIS INVESTMENT MANAGEMENT, LLC	State registered	Oct 1, 2019	n/a	yes	RED WING, MN	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 20, 2017	Jun 25, 2018	no	SAN ANTONIO, TX	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Sep 23, 2014	Mar 9, 2017	no	BLOOMINGTON, MN	Previous registration
MORGAN STANLEY	Wirehouse	Jan 14, 2013	Aug 26, 2014	no	Bloomington, MN	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	May 26, 2010	Sep 10, 2012	no	St. Paul, MN	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 27, 2010	Sep 10, 2012	no	ST. PAUL, MN	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
AMERIPRISE FINANCIAL SERVICES, LLC	AEGIS INVESTMENT MANAGEMENT, LLC	Jun 25, 2018	Oct 1, 2019	463	Firm change after gap	Ibd to state RIA
ADVICE AND PLANNING SERVICES	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 9, 2017	Mar 20, 2017	11	Firm change	Other
MORGAN STANLEY	ADVICE AND PLANNING SERVICES	Aug 26, 2014	Sep 23, 2014	28	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Sep 10, 2012	May 26, 2010	-838	Channel change	Other
TD AMERITRADE, INC.	MORGAN STANLEY	Sep 10, 2012	Jan 14, 2013	126	Firm change	Other

Relationships

Registered with (6)

→ AEGIS INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: current employment
Oct 1, 2019 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 20, 2017 to Jun 25, 2018factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Sep 23, 2014 to Mar 9, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jan 14, 2013 to Aug 26, 2014factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 27, 2010 to Sep 10, 2012factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 26, 2010 to Sep 10, 2012factForm ADV

Dated events

No dated event names this entity yet.