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

Erik J Pedersen

Northwestern Mutual Investment Services,LLCno RAUMEdina, Mndual registrantIAPD 4140000

Feed of 09/14/2026

Also filed as Erik J Pedersen

At current firm

1 y

since Jun 25, 2025

In the industry

26 y

since Mar 16, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Northwestern Mutual Investment Services,LLC no RAUM current
since Jun 25, 2025 · Edina, Mn
Commonwealth Financial Network national BD
Jan 23, 2024 to Apr 10, 2024 · New Brighton, Mn
Northwestern Mutual Investment Services,LLC no RAUM
Mar 29, 2017 to Sep 11, 2023 · Bloomington, Mn
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 21, 2013 to Jul 29, 2016 · Chandler, Az
Meeder Asset Management, Inc. asset manager
Sep 30, 2011 to Jan 3, 2013 · Dublin, Oh
Meeder Advisory Services, Inc. independent RIA
Sep 30, 2011 to Jan 3, 2013 · Dublin, Oh
Chase Investment Services Corp. former
Jul 6, 2005 to Dec 6, 2005 · Denver, Co
Banc One Securities Corporation unclassified
Jun 14, 2005 to Jul 6, 2005 · Denver, Co
Uvest Financial Services Group, Inc. unclassified
Feb 16, 2005 to Jun 6, 2005 · Greenwood Village, Co
Ameritas Advisory Services former
Aug 12, 2004 to Feb 28, 2005 · Greenwood Vlg, Co
Pruco Securities, LLC no RAUM
Sep 14, 2000 to Aug 12, 2004 · Englewood, Co

Moves

a registration end followed by a registration begin elsewhere

Commonwealth Financial Network to Northwestern Mutual Investment Services,LLC
left Apr 10, 2024, registered Jun 25, 2025 (441 days) · Other
Northwestern Mutual Investment Services,LLC to Commonwealth Financial Network
left Sep 11, 2023, registered Jan 23, 2024 (134 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Northwestern Mutual Investment Services,LLC
left Jul 29, 2016, registered Mar 29, 2017 (243 days) · Other
Meeder Advisory Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jan 3, 2013, registered Mar 21, 2013 (77 days) · Other
Meeder Asset Management, Inc. to Meeder Advisory Services, Inc.
left Jan 3, 2013, registered Sep 30, 2011 (-461 days) · Other
Chase Investment Services Corp. to Meeder Asset Management, Inc.
left Dec 6, 2005, registered Sep 30, 2011 (2124 days) · Other
Banc One Securities Corporation to Chase Investment Services Corp.
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
Uvest Financial Services Group, Inc. to Banc One Securities Corporation
left Jun 6, 2005, registered Jun 14, 2005 (8 days) · Other
Ameritas Advisory Services to Uvest Financial Services Group, Inc.
left Feb 28, 2005, registered Feb 16, 2005 (-12 days) · Other
Pruco Securities, LLC to Ameritas Advisory Services
left Aug 12, 2004, registered Aug 12, 2004 (0 days) · Other

Signals

Erik J Pedersen left Commonwealth Financial Network for Northwestern Mutual Investment Services,Llc (registered 2025-06-25)
Apr 10, 2024 · Advisor changed firm · fact
Erik J Pedersen left Northwestern Mutual Investment Services,Llc for Commonwealth Financial Network (registered 2024-01-23)
Sep 11, 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: No RAUM reportedderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address