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

N••••• M••••• B•••

C•••••• A•••••••BD affiliatedSterling Heights, Mi dual registrantIAPD 3206348

Feed of 09/14/2026

Also filed as Norm Bald

At current firm

6 y

since Apr 20, 2020

In the industry

27 y

since Apr 13, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• A••••••• BD affiliated current
since Apr 20, 2020 · Southfield, Mi
T•• A•••••••• I••• BD affiliated
Jun 6, 2017 to Mar 20, 2020 · Southfield, Mi
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 14, 2016 to May 9, 2017 · Troy, Mi
C•••••• A••••••• BD affiliated
Jun 4, 2012 to Jun 3, 2016 · Southfield, Mi
L•••••• I••••••••• independent RIA
Jun 1, 2012 to Jun 3, 2016 · Southfield, Mi
C••••••••• A•••••••• I•• former
Jun 30, 2006 to Jun 1, 2012 · Southfield, Mi

Moves

a registration end followed by a registration begin elsewhere

T•• A•••••••• I••• to C•••••• A•••••••
left Mar 20, 2020, registered Apr 20, 2020 (31 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to T•• A•••••••• I•••
left May 9, 2017, registered Jun 6, 2017 (28 days) · Other
C•••••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Jun 3, 2016, registered Jun 14, 2016 (11 days) · Other · moved with a team
L•••••• I••••••••• to C•••••• A•••••••
left Jun 3, 2016, registered Jun 4, 2012 (-1460 days) · Other · moved with a team
C••••••••• A•••••••• I•• to L•••••• I•••••••••
left Jun 1, 2012, registered Jun 1, 2012 (0 days) · corporate re-registration, not a move

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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address