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
Ralph Nicholas Backe
Feed of 09/14/2026
Also filed as Nick Backe
At current firm
7 y
since Aug 19, 2019
In the industry
33 y
since May 21, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Prospera Financial Services, Inc. BD affiliated currentsince Aug 19, 2019 · Crystal Lake, Il
- Wells Fargo Advisors wirehouseJul 5, 2013 to Aug 20, 2019 · Crystal Lake, Il
- Wells Fargo Advisors wirehouseJul 1, 2003 to Jul 5, 2013 · Barrington, Il
- Prudential Equity Group, LLC unclassifiedMay 17, 2000 to Jul 1, 2003 · Schaumburg, Il
Moves
a registration end followed by a registration begin elsewhere
- Wells Fargo Advisors to Prospera Financial Services, Inc.left Aug 20, 2019, registered Aug 19, 2019 (-1 days) · Wirehouse to independent RIA · moved with a team
- Wells Fargo Advisors to Wells Fargo Advisorsleft Jul 5, 2013, registered Jul 5, 2013 (0 days) · channel change inside one enterprise, not a move
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address