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.
Feed of 09/14/2026
Also filed as Hap Nielsen
At current firm
2 y
since Sep 22, 2023
In the industry
29 y
since Jan 2, 1997 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Waterloo Capital independent RIA currentsince Sep 22, 2023 · Austin, Tx
- Independent Financial Group, LLC BD affiliatedAug 13, 2021 to Sep 18, 2023 · Waco, Tx
- Cetera Advisor Networks LLC formerNov 1, 2017 to Aug 16, 2021 · Waco, Tx
- Girard Securities, Inc. formerFeb 10, 2010 to Nov 1, 2017 · Corpus Christi, Tx
- Next Financial Group, Inc. formerAug 13, 2007 to Dec 31, 2009 · Houston, Tx
- Regal Advisory Services, Inc. independent RIAFeb 12, 2007 to Sep 6, 2007 · Glenview, Il
- Samco Financial Services, Inc. unclassifiedJul 19, 2001 to Dec 31, 2006 · Waco, Tx
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Group, LLC to Waterloo Capitalleft Sep 18, 2023, registered Sep 22, 2023 (4 days) · Affiliated broker-dealer or bank to independent RIA
- Cetera Advisor Networks LLC to Independent Financial Group, LLCleft Aug 16, 2021, registered Aug 13, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- Girard Securities, Inc. to Cetera Advisor Networks LLCleft Nov 1, 2017, registered Nov 1, 2017 (0 days) · corporate re-registration, not a move
- Next Financial Group, Inc. to Girard Securities, Inc.left Dec 31, 2009, registered Feb 10, 2010 (41 days) · Other
- Regal Advisory Services, Inc. to Next Financial Group, Inc.left Sep 6, 2007, registered Aug 13, 2007 (-24 days) · Other
- Samco Financial Services, Inc. to Regal Advisory Services, Inc.left Dec 31, 2006, registered Feb 12, 2007 (43 days) · Other
Signals
- Keith Ronan Nielsen left Independent Financial Group, Llc for Waterloo Capital (registered 2023-09-22)Sep 18, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address