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

M•••••• N•••••

E•••••• A••••••• G••••• L••BD affiliatedPrior Lake, Mn dual registrantIAPD 4561297

Feed of 09/15/2026

Also filed as Mike Ernest Nelson

At current firm

0 y

since Jan 21, 2026

In the industry

24 y

since Sep 6, 2002 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Jan 21, 2026 · Greenwood Village, Co
J••• M••••• S••••••••• L•• wirehouse
Sep 18, 2024 to Jan 5, 2026 · Chaska, Mn
M••••• S•••••• wirehouse
Sep 5, 2023 to Sep 27, 2024 · Bloomington, Mn
E•••••• C•••••• M••••••••• L•• former
Nov 1, 2021 to Sep 5, 2023 · Bloomington, Mn
F••••••• P••••••• A•• W•••••••• A••••••• former
Jun 23, 2021 to Oct 18, 2021 · Westlake, Tx
W••••••• F•••••••• S•••••••• I••• former
May 7, 2019 to Apr 9, 2021 · Minnetonka, Mn
W•••• F•••• A••••••• wirehouse
Aug 8, 2018 to Nov 27, 2018 · Mound, Mn
S•••••••• I••••••••• M••••••••• former
Apr 15, 2017 to Mar 7, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••
left Jan 5, 2026, registered Jan 21, 2026 (16 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to J••• M••••• S••••••••• L••
left Sep 27, 2024, registered Sep 18, 2024 (-9 days) · Wirehouse to wirehouse
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• C•••••• M••••••••• L••
left Oct 18, 2021, registered Nov 1, 2021 (14 days) · Affiliated broker-dealer or bank to independent RIA
W••••••• F•••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 9, 2021, registered Jun 23, 2021 (75 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to W••••••• F•••••••• S•••••••• I•••
left Nov 27, 2018, registered May 7, 2019 (161 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••
left Mar 7, 2018, registered Aug 8, 2018 (154 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

M•••••• N••••• left J••• M••••• S••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-01-21)
Jan 5, 2026 · Advisor changed firm · fact
M•••••• N••••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2024-09-18)
Sep 27, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address