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.

Current firm

NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC

Current firm class

no raum reportedderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jan 1, 2010earliest registration or exam on IAPD

Years in industry

16derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S63|S66

First exam

Jul 16, 2021

First registration

Jul 1, 2022

Dual registered

yes, broker-dealer

Other names

Seth Cave|Seth Daniel Cave

IAPD individual key

7374209

• Occurred

  Jun 17, 2026
  Advisor changed firm

  Seth Cave left Ellerbrock-Norris Wealth Strategies Llc for Northwestern Mutual Investment Services,Llc (registered 2026-09-11)

  Form ADVobserved 6 days ago
• Occurred

  Apr 5, 2024
  Advisor changed firm

  Seth Cave left Raymond James & Associates, Inc. for Ellerbrock-Norris Wealth Strategies Llc (registered 2024-04-15)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:92dd55ab-3749-bfcd-115e-02cfe25a30c4

First observed

Jul 1, 2022

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.