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

Douglas Andrew Nelson

RBC Capital Markets, LLCnational BDRye Beach, Nh dual registrantIAPD 4280481

Feed of 09/15/2026

Also filed as Douglas Andrew Nelson

At current firm

0 y

since Jul 2, 2026

In the industry

25 y

since Dec 12, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

RBC Capital Markets, LLC national BD current
since Jul 2, 2026 · Portsmouth, Nh
Sunpointe Investments independent RIA
Jun 18, 2021 to Jul 1, 2026 · St. Louis, Mo
Wells Fargo Advisors wirehouse
Jan 13, 2012 to Jun 24, 2021 · Portsmouth, Nh
Morgan Stanley wirehouse
Jun 1, 2009 to Jan 30, 2012 · Portsmouth, Nh
Morgan Stanley & Co. LLC unclassified
Apr 2, 2007 to Jun 1, 2009 · Portsmouth, Nh
Morgan Stanley Dw Inc. unclassified
Apr 29, 2005 to Apr 2, 2007 · Portsmouth, Nh
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Feb 8, 2001 to May 2, 2005 · Portsmouth, Nh

Moves

a registration end followed by a registration begin elsewhere

Sunpointe Investments to RBC Capital Markets, LLC
left Jul 1, 2026, registered Jul 2, 2026 (1 days) · RIA to affiliated broker-dealer or bank
Wells Fargo Advisors to Sunpointe Investments
left Jun 24, 2021, registered Jun 18, 2021 (-6 days) · Wirehouse to independent RIA
Morgan Stanley to Wells Fargo Advisors
left Jan 30, 2012, registered Jan 13, 2012 (-17 days) · Wirehouse to wirehouse
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLC
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley Dw Inc.
left May 2, 2005, registered Apr 29, 2005 (-3 days) · Other

Signals

Douglas Andrew Nelson left Sunpointe Investments for Rbc Capital Markets, Llc (registered 2026-07-02)
Jul 1, 2026 · 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address