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
Nat Nunn
Merrill Lynch, Pierce, Fenner & Smith IncorporatedwirehouseRiverside, Ri dual registrantIAPD 2639284
Feed of 09/15/2026
Also filed as Nat Nunn
At current firm
13 y
since Mar 28, 2013
In the industry
31 y
since Aug 3, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Mar 28, 2013 · Riverside, Ri
- Td Ameritrade Investment Management, LLC formerAug 31, 2011 to Jan 11, 2013 · West Hartford, Ct
- Td Ameritrade, Inc. formerAug 31, 2011 to Jan 11, 2013 · West Hartford, Ct
- Global Portfolio Strategies, Inc. formerOct 23, 2006 to Jun 16, 2011 · Hartford, Ct
- Prudential Retirement Brokerage Services, Inc. unclassifiedFeb 24, 2000 to Apr 30, 2005 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- Td Ameritrade Investment Management, LLC to Td Ameritrade, Inc.left Jan 11, 2013, registered Aug 31, 2011 (-499 days) · channel change inside one enterprise, not a move
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Jan 11, 2013, registered Aug 31, 2011 (-499 days) · Other
- Global Portfolio Strategies, Inc. to Td Ameritrade, Inc.left Jun 16, 2011, registered Aug 31, 2011 (76 days) · Other
- Prudential Retirement Brokerage Services, Inc. to Global Portfolio Strategies, Inc.left Apr 30, 2005, registered Oct 23, 2006 (541 days) · Other
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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address