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

Thomas Carlos Nieves

Bfc Planning, Inc.BD affiliatedWest Palm Beach, Fl dual registrantIAPD 2794262

Feed of 09/14/2026

At current firm

0 y

since Dec 12, 2025

In the industry

30 y

since Sep 9, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Bfc Planning, Inc. BD affiliated current
since Dec 12, 2025 · Cedar Rapids, Ia
Centaurus Financial, Inc. BD affiliated
Jan 22, 2020 to Nov 10, 2025 · Woodland Hills, Ca
Summit Financial Group Inc former
Mar 18, 2011 to Jan 17, 2020 · Los Angeles, Ca
Voya Financial Advisors, Inc. BD affiliated
Jan 19, 2010 to Dec 1, 2010 · Houston, Tx
Ameriprise Financial Services, LLC national BD
Dec 15, 1997 to Sep 17, 2003 · Woodland Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

Centaurus Financial, Inc. to Bfc Planning, Inc.
left Nov 10, 2025, registered Dec 12, 2025 (32 days) · Affiliated broker-dealer or bank to another
Summit Financial Group Inc to Centaurus Financial, Inc.
left Jan 17, 2020, registered Jan 22, 2020 (5 days) · Affiliated broker-dealer or bank to another · moved with a team
Voya Financial Advisors, Inc. to Summit Financial Group Inc
left Dec 1, 2010, registered Mar 18, 2011 (107 days) · Other
Ameriprise Financial Services, LLC to Voya Financial Advisors, Inc.
left Sep 17, 2003, registered Jan 19, 2010 (2316 days) · Other

Signals

Thomas Carlos Nieves left Centaurus Financial, Inc. for Bfc Planning, Inc. (registered 2025-12-12)
Nov 10, 2025 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address