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
Allison Anne Nathe
Feed of 09/14/2026
Also filed as Allison Anne Nathe
At current firm
1 y
since Sep 5, 2025
In the industry
26 y
since May 24, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
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
- Cetera Investment Advisers LLC BD affiliated currentsince Sep 5, 2025 · Wenatchee, Wa
- Avantax Advisory Services formerOct 25, 2019 to Sep 5, 2025 · Wenatchee, Wa
- 1st Global Advisors Inc formerMar 7, 2018 to Oct 25, 2019 · Wenatchee, Wa
- Global Financial Private Capital, Inc. formerMar 31, 2015 to Apr 2, 2018 · Wenatchee, Wa
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJul 31, 2013 to Oct 16, 2013 · Bellevue, Wa
- Raymond James Financial Services Advisors, Inc BD affiliatedFeb 10, 2010 to Dec 3, 2012 · Seattle, Wa
- UBS Financial Services Inc. wirehouseJun 15, 2006 to Feb 17, 2010 · Seattle, Wa
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseJun 12, 2000 to Jun 6, 2006 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- Avantax Advisory Services to Cetera Investment Advisers LLCleft Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- 1st Global Advisors Inc to Avantax Advisory Servicesleft Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- Global Financial Private Capital, Inc. to 1st Global Advisors Incleft Apr 2, 2018, registered Mar 7, 2018 (-26 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Global Financial Private Capital, Inc.left Oct 16, 2013, registered Mar 31, 2015 (531 days) · Other
- Raymond James Financial Services Advisors, Inc to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Dec 3, 2012, registered Jul 31, 2013 (240 days) · Other
- UBS Financial Services Inc. to Raymond James Financial Services Advisors, Incleft Feb 17, 2010, registered Feb 10, 2010 (-7 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to UBS Financial Services Inc.left Jun 6, 2006, registered Jun 15, 2006 (9 days) · Wirehouse to wirehouse
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address