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••••••• L• M••

E••••• J••••national BDSt. Louis, Mo dual registrantIAPD 1993265

Certified Financial Planner

Feed of 09/14/2026

Also filed as Nick Max

At current firm

1 y

since May 27, 2025

In the industry

25 y

since Jan 10, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

E••••• J•••• national BD current
since May 27, 2025 · St. Louis, Mo
V••••••• A•••••••• I••• BD affiliated
Mar 17, 2022 to Oct 31, 2024 · Charlotte, Nc
E•••••• A••••••• G••••• L•• BD affiliated
Jan 2, 2020 to Mar 9, 2022 · Barrington, Il
S••••• W••••• A•••••••• I••• no RAUM
Apr 26, 2016 to Jan 28, 2019 · Indianapolis, In
A••••• A•• P••••••• S••••••• BD affiliated
Oct 10, 2012 to Nov 10, 2015 · Chicago, Il
T• A••••••••• I••• former
Jul 26, 2007 to Feb 28, 2008 · Chicago, Il
A••••• F•••••••• S••••••••• L•• unclassified
Apr 1, 2003 to Dec 18, 2006 · Chicago, Il
B••• O•• S••••••••• C••••••••• unclassified
Apr 18, 2002 to Aug 30, 2002 · Palatine, Il

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to E••••• J••••
left Oct 31, 2024, registered May 27, 2025 (208 days) · Affiliated broker-dealer or bank to another · moved with a team
E•••••• A••••••• G••••• L•• to V••••••• A•••••••• I•••
left Mar 9, 2022, registered Mar 17, 2022 (8 days) · Other
S••••• W••••• A•••••••• I••• to E•••••• A••••••• G••••• L••
left Jan 28, 2019, registered Jan 2, 2020 (339 days) · Other
A••••• A•• P••••••• S••••••• to S••••• W••••• A•••••••• I•••
left Nov 10, 2015, registered Apr 26, 2016 (168 days) · Other
T• A••••••••• I••• to A••••• A•• P••••••• S•••••••
left Feb 28, 2008, registered Oct 10, 2012 (1686 days) · Other
A••••• F•••••••• S••••••••• L•• to T• A••••••••• I•••
left Dec 18, 2006, registered Jul 26, 2007 (220 days) · Other
B••• O•• S••••••••• C••••••••• to A••••• F•••••••• S••••••••• L••
left Aug 30, 2002, registered Apr 1, 2003 (214 days) · Other

Signals

N••••••• L• M•• left V••••••• A•••••••• I••• for E••••• J•••• (registered 2025-05-27)
Oct 31, 2024 · Advisor changed firm · fact
N••••••• L• M•• left E•••••• A••••••• G••••• L•• for V••••••• A•••••••• I••• (registered 2022-03-17)
Mar 9, 2022 · Advisor changed firm · fact

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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address