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
Nick Kaloyios
Feed of 09/15/2026
Also filed as Nick Kaloyios
At current firm
1 y
since Oct 10, 2024
In the industry
17 y
since Jun 4, 2009 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Wells Fargo Advisors wirehouse currentsince Oct 10, 2024 · Stuart, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 14, 2022 to Aug 19, 2024 · Plantation, Fl
- Securities America Advisors, Inc. formerNov 3, 2021 to May 9, 2022 · Deerfield, Fl
- Dawson James Asset Management, Inc. state registeredAug 11, 2021 to Oct 12, 2021 · Boca Raton, Fl
- Cuna Brokerage Services, Inc. formerAug 21, 2019 to Aug 5, 2021 · Boca Raton, Fl
- Principal Securities, Inc. BD affiliatedDec 3, 2013 to May 12, 2015 · Miramar, Fl
- Asset & Financial Planning, Ltd formerJan 19, 2012 to Nov 12, 2013 · Aventura, Fl
- Harbor Financial Services, LLC formerOct 7, 2011 to Oct 27, 2011 · Dallas, Tx
- Suntrust Investment Services, Inc. formerJun 4, 2009 to Aug 23, 2010 · Weston, Fl
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Advisorsleft Aug 19, 2024, registered Oct 10, 2024 (52 days) · Wirehouse to wirehouse
- Securities America Advisors, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 9, 2022, registered Jun 14, 2022 (36 days) · Affiliated broker-dealer or bank to wirehouse
- Dawson James Asset Management, Inc. to Securities America Advisors, Inc.left Oct 12, 2021, registered Nov 3, 2021 (22 days) · Other
- Cuna Brokerage Services, Inc. to Dawson James Asset Management, Inc.left Aug 5, 2021, registered Aug 11, 2021 (6 days) · Affiliated broker-dealer or bank to a state-registered adviser
- Principal Securities, Inc. to Cuna Brokerage Services, Inc.left May 12, 2015, registered Aug 21, 2019 (1562 days) · Other
- Asset & Financial Planning, Ltd to Principal Securities, Inc.left Nov 12, 2013, registered Dec 3, 2013 (21 days) · Other
- Harbor Financial Services, LLC to Asset & Financial Planning, Ltdleft Oct 27, 2011, registered Jan 19, 2012 (84 days) · Other
- Suntrust Investment Services, Inc. to Harbor Financial Services, LLCleft Aug 23, 2010, registered Oct 7, 2011 (410 days) · Other
Signals
- Nick Kaloyios left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Wells Fargo Advisors (registered 2024-10-10)Aug 19, 2024 · Advisor changed firm · fact
- Nick Kaloyios left Securities America Advisors, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-06-14)May 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address