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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

NATHANIEL J HINTZ

Advisor at LPL FINANCIAL LLC

ALAMO, CA

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Search this name across graphsid dfx:ria:f22a6e96-1d7d-b7f1-a856-dee72a9eae98

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 15, 2008 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: LPL FINANCIAL LLC
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: Mar 3, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Mar 3, 2006
First registration: Sep 15, 2008
Dual registered: yes, broker-dealer
Other names: NATHANIEL JOHN HINTZ
IAPD individual key: 5102079

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
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 1, 2020	n/a	yes	ALAMO, CA	Current employment
INSIGHT WEALTH STRATEGIES, LLC	Independent wealth	Apr 30, 2018	Mar 31, 2020	no	San Ramon, CA	Previous registration
OSAIC FA, INC.	Former SEC adviser	May 28, 2014	May 2, 2018	no	SAN RAMON, CA\|LIVERMORE, CA\|POINT RICHMOND, CA\|SAN RAMON, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 4, 2011	Jul 11, 2014	no	CAMPBELL, CA\|SANTA CLARA, CA\|SACRAMENTO, CA\|SANTA CLARA, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SANTA CLARA, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 15, 2008	Sep 12, 2011	no	SAN JOSE, 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
INSIGHT WEALTH STRATEGIES, LLC	LPL FINANCIAL LLC	Mar 31, 2020	Apr 1, 2020	1	Firm change	RIA to ibd
OSAIC FA, INC.	INSIGHT WEALTH STRATEGIES, LLC	May 2, 2018	Apr 30, 2018	-2	Firm change	Ibd to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	OSAIC FA, INC.	Jul 11, 2014	May 28, 2014	-44	Firm change after gap	Other
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 12, 2011	Oct 4, 2011	22	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
3978:293644:CA:2018-05-01	May 2, 2018	Apr 30, 2018	SAN RAMON, CA	Firm change

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 15, 2008 to Sep 12, 2011factForm ADV
→ INSIGHT WEALTH STRATEGIES, LLCRegistered adviserregistration: previous registration
Apr 30, 2018 to Mar 31, 2020factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
May 28, 2014 to May 2, 2018factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 4, 2011 to Jul 11, 2014factForm ADV

Dated events

No dated event names this entity yet.