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RIA / WealthAdvisorCertified Financial Planner13 years in industry

NICHOLAS KELLY OZER

Advisor at REGATTA CAPITAL GROUP, LLC

EL SEGUNDO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:be4d9d03-e26d-48cb-9ab8-db41e899dc4a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Dec 18, 2012 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Nicholas Ozer

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: REGATTA CAPITAL GROUP, LLC
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: Dec 17, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Dec 17, 2012
First registration: Dec 18, 2012
Dual registered: no
Other names: NICHOLAS OZER
IAPD individual key: 6047605

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
REGATTA CAPITAL GROUP, LLC	Independent wealth	May 12, 2015	n/a	yes	EL SEGUNDO, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Oct 22, 2013	May 12, 2015	no	EL SEGUNDO, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 18, 2012	Oct 24, 2013	no	HERMOSA BEACH, CA\|MINNEAPOLIS, MN\|HERMOSA BEACH, 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
WELLS FARGO ADVISORS	REGATTA CAPITAL GROUP, LLC	May 12, 2015	May 12, 2015	0	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO ADVISORS	Oct 24, 2013	Oct 22, 2013	-2	Firm change	Ibd to wirehouse

Relationships

Registered with (3)

→ REGATTA CAPITAL GROUP, LLCRegistered adviserregistration: current employment
May 12, 2015 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 22, 2013 to May 12, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 18, 2012 to Oct 24, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:be4d9d03-e26d-48cb-9ab8-db41e899dc4a
First observed: Dec 18, 2012
Last observed: Sep 14, 2026 6 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.

NICHOLAS KELLY OZER

Advisor at REGATTA CAPITAL GROUP, LLC

EL SEGUNDO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:be4d9d03-e26d-48cb-9ab8-db41e899dc4a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:28 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

REGATTA CAPITAL GROUP, LLC

Independent wealth

May 12, 2015

n/a

yes

EL SEGUNDO, CA

Current employment

WELLS FARGO ADVISORS

Wirehouse

Oct 22, 2013

May 12, 2015

EL SEGUNDO, CA

Previous registration

AMERIPRISE FINANCIAL SERVICES, LLC

National bd RIA

Dec 18, 2012

Oct 24, 2013

HERMOSA BEACH, CA|MINNEAPOLIS, MN|HERMOSA BEACH, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WELLS FARGO ADVISORS

REGATTA CAPITAL GROUP, LLC

May 12, 2015

Firm change

Other

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO ADVISORS

Oct 24, 2013

Oct 22, 2013

-2

Firm change

Ibd to wirehouse