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.
Feed of 09/14/2026
Also filed as Nancy Ann Lyons
At current firm
2 y
since Oct 8, 2023
In the industry
24 y
since Aug 17, 2002 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Essex LLC independent RIA currentsince Oct 8, 2023 · Deer Park, Il
- Creativeone Wealth, LLC independent RIAOct 26, 2020 to Sep 26, 2023 · Barrington, Il
- Partnervest Advisory Services LLC formerOct 10, 2013 to Nov 5, 2020 · Crystal Lake, Il
- Crossroads Advisory Group unclassifiedJan 26, 2010 to Oct 16, 2013 · Crystal Lake, Il
- Financial Advisers Of America, LLC formerOct 29, 2009 to Oct 11, 2011 · Carlsbad, Ca
- Mutual Service Corporation unclassifiedNov 14, 2006 to Aug 17, 2009 · Cary, Il
- Money Concepts Advisory Service BD affiliatedOct 27, 2005 to Aug 7, 2006 · Wilmington, Nc
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseDec 3, 2004 to Oct 19, 2005 · Schaumburg, Il
Moves
a registration end followed by a registration begin elsewhere
- Creativeone Wealth, LLC to Essex LLCleft Sep 26, 2023, registered Oct 8, 2023 (12 days) · RIA to RIA
- Partnervest Advisory Services LLC to Creativeone Wealth, LLCleft Nov 5, 2020, registered Oct 26, 2020 (-10 days) · corporate re-registration, not a move
- Crossroads Advisory Group to Partnervest Advisory Services LLCleft Oct 16, 2013, registered Oct 10, 2013 (-6 days) · Other
- Financial Advisers Of America, LLC to Crossroads Advisory Groupleft Oct 11, 2011, registered Jan 26, 2010 (-623 days) · Other
- Mutual Service Corporation to Financial Advisers Of America, LLCleft Aug 17, 2009, registered Oct 29, 2009 (73 days) · Other
- Money Concepts Advisory Service to Mutual Service Corporationleft Aug 7, 2006, registered Nov 14, 2006 (99 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Money Concepts Advisory Serviceleft Oct 19, 2005, registered Oct 27, 2005 (8 days) · Other
Signals
- Nancy Ann Effert left Creativeone Wealth, Llc for Essex Llc (registered 2023-10-08)Sep 26, 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address