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

P••••••• A•• N••••••

N••••••••• I••••••••• A•••••••• L••BD affiliatedColumbus, Ohdual registrantIAPD 2870230

Feed of 09/14/2026

Also filed as Patricia A Nichols

At current firm

4 y

since Jun 14, 2022

In the industry

29 y

since Jul 26, 1997 (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

N••••••••• I••••••••• A•••••••• L•• BD affiliated current
since Jun 14, 2022 · Columbus, Oh
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 15, 2021 to Jun 5, 2022 · Jacksonville, Fl
C••• B•••••••• S•••••••• I••• former
Jul 7, 2020 to Aug 3, 2021 · Tampa, Fl
E•••••••• A•••••••• L•• national BD
Nov 12, 2019 to May 1, 2020 · Orlando, Fl
M••••••••• R••••••••• BD affiliated
May 1, 2007 to Oct 7, 2019 · Washington, Dc
K•••••• C•••••• M•••••• I••• unclassified
Aug 11, 2004 to Sep 15, 2006 · Brooklyn, Oh
K•••••• C•••••• M•••••• I••• unclassified
Apr 2, 2003 to Oct 14, 2003 · Strongsville, Oh

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to N••••••••• I••••••••• A•••••••• L••
left Jun 5, 2022, registered Jun 14, 2022 (9 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Aug 3, 2021, registered Oct 15, 2021 (73 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••
left May 1, 2020, registered Jul 7, 2020 (67 days) · Affiliated broker-dealer or bank to another
M••••••••• R••••••••• to E•••••••• A•••••••• L••
left Oct 7, 2019, registered Nov 12, 2019 (36 days) · Other
K•••••• C•••••• M•••••• I••• to M••••••••• R•••••••••
left Sep 15, 2006, registered May 1, 2007 (228 days) · Other

Signals

P••••••• A•• N•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for N••••••••• I••••••••• A•••••••• L•• (registered 2022-06-14)
Jun 5, 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address