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.

Registered advisor

Nicholas Nmn Dalmaso

Sound Capital Solutions LLCasset managerNaples, FlIA-onlyIAPD 2246955

Feed of 09/14/2026

Also filed as Nicholas Dalmaso

At current firm

2 y

since Jan 11, 2024

In the industry

25 y

since Mar 22, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Sound Capital Solutions LLC asset manager current
since Jan 11, 2024 · Naples, Fl
M1 Advisory independent RIA
Dec 22, 2020 to Mar 1, 2022 · Chicago, Il
Sound Capital Solutions LLC asset manager
Oct 23, 2020 to Sep 15, 2023 · Naples, Fl
M1 Advisory independent RIA
Oct 2, 2015 to Dec 31, 2019 · Chicago, Il
Destra Capital Advisors LLC asset manager
Mar 10, 2010 to Jan 4, 2011 · Bozeman, Mt
Guggenheim Funds Distributors, LLC asset manager
Oct 22, 2003 to Jun 12, 2008 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

Sound Capital Solutions LLC to M1 Advisory
left Sep 15, 2023, registered Dec 22, 2020 (-997 days) · Other
M1 Advisory to Sound Capital Solutions LLC
left Mar 1, 2022, registered Jan 11, 2024 (681 days) · Other
M1 Advisory to Sound Capital Solutions LLC
left Dec 31, 2019, registered Oct 23, 2020 (297 days) · Other
Destra Capital Advisors LLC to M1 Advisory
left Jan 4, 2011, registered Oct 2, 2015 (1732 days) · Other
Guggenheim Funds Distributors, LLC to Destra Capital Advisors LLC
left Jun 12, 2008, registered Mar 10, 2010 (636 days) · Other

Signals

Nicholas Nmn Dalmaso left Sound Capital Solutions Llc for M1 Advisory (registered 2020-12-22)
Sep 15, 2023 · Advisor changed firm · fact
Nicholas Nmn Dalmaso left M1 Advisory for Sound Capital Solutions Llc (registered 2024-01-11)
Mar 1, 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address