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

M•••••• H••••• N•••••

K•••••••• W••••• A•••••••• L••BD affiliatedNew York, Ny dual registrantIAPD 2573543

Feed of 09/14/2026

Also filed as Mike N•••••

At current firm

5 y

since Apr 7, 2021

In the industry

31 y

since Jan 5, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Apr 7, 2021 · San Diego, Ca
B•••••••• A••••••• S•••••••• L•• no RAUM
Oct 24, 2019 to Jul 13, 2022 · San Diego, Ca
C••• I••••••••• A•••••••• I••• independent RIA
Jul 3, 2019 to Oct 3, 2019 · Mcdonough, Ga
N••• C••••••••• BD affiliated
Mar 31, 2015 to Feb 22, 2019 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

B•••••••• A••••••• S•••••••• L•• to K•••••••• W••••• A•••••••• L••
left Jul 13, 2022, registered Apr 7, 2021 (-462 days) · RIA to RIA
C••• I••••••••• A•••••••• I••• to B•••••••• A••••••• S•••••••• L••
left Oct 3, 2019, registered Oct 24, 2019 (21 days) · RIA to a newly registered adviser
N••• C••••••••• to C••• I••••••••• A•••••••• I•••
left Feb 22, 2019, registered Jul 3, 2019 (131 days) · Affiliated broker-dealer or bank to independent RIA

Signals

M•••••• H••••• N••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2021-04-07)
Jul 13, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address