DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

N••••••• J••••• S•••

C••••••• I••••••••• M••••••••• L••independent RIAWindham, NhIA-onlyIAPD 1308350

Feed of 09/14/2026

Also filed as Nick S•••

At current firm

7 y

since Oct 18, 2018

In the industry

41 y

since Nov 8, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• I••••••••• M••••••••• L•• independent RIA current
since Oct 18, 2018 · Windham, Nh
C•••••• S••••• • C••• I••• national BD
Dec 9, 2010 to Mar 1, 2017 · Chestnut Hill, Ma
F•••••••• W••• G•••• former
Jun 9, 2010 to Nov 11, 2010 · Irvine, Ca
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jul 27, 2007 to Jun 10, 2008 · St. Paul, Mn
W•••• F•••• I••••••••• L•• unclassified
Mar 10, 2005 to Jun 4, 2007 · Minneapolis, Mn
C•••••• S••••• • C••• I••• national BD
Jan 1, 2001 to Aug 2, 2004 · In

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to C••••••• I••••••••• M••••••••• L••
left Mar 1, 2017, registered Oct 18, 2018 (596 days) · Affiliated broker-dealer or bank to independent RIA
F•••••••• W••• G•••• to C•••••• S••••• • C••• I•••
left Nov 11, 2010, registered Dec 9, 2010 (28 days) · Other
T••••••••• F•••••••• A•••••••• L•• to F•••••••• W••• G••••
left Jun 10, 2008, registered Jun 9, 2010 (729 days) · Other
W•••• F•••• I••••••••• L•• to T••••••••• F•••••••• A•••••••• L••
left Jun 4, 2007, registered Jul 27, 2007 (53 days) · Other
C•••••• S••••• • C••• I••• to W•••• F•••• I••••••••• L••
left Aug 2, 2004, registered Mar 10, 2005 (220 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address