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

N••••••• H••• S••••••••

O•••• W•••••• I•••BD affiliatedScottsdale, Az dual registrantIAPD 4605989

Feed of 09/14/2026

Also filed as Nick H••• S••••••••

At current firm

1 y

since Feb 4, 2025

In the industry

23 y

since Apr 11, 2003 (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

O•••• W•••••• I••• BD affiliated current
since Feb 4, 2025 · Scottsdale, Az
L•• F•••••••• L•• BD affiliated
Feb 14, 2018 to Feb 11, 2025 · Auburn, In
S•• I••••••••• I••• former
Feb 27, 2015 to Feb 15, 2018 · Auburn, In
H•••• W••••• P••••••• former
Jul 26, 2010 to Mar 3, 2015 · Auburn, In
L•• F•••••••• L•• BD affiliated
Jan 21, 2004 to Oct 7, 2010 · Auburn, In

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to O•••• W•••••• I•••
left Feb 11, 2025, registered Feb 4, 2025 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
S•• I••••••••• I••• to L•• F•••••••• L••
left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
H•••• W••••• P••••••• to S•• I••••••••• I•••
left Mar 3, 2015, registered Feb 27, 2015 (-4 days) · Other
L•• F•••••••• L•• to H•••• W••••• P•••••••
left Oct 7, 2010, registered Jul 26, 2010 (-73 days) · Other

Signals

N••••••• H••• S•••••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2025-02-04)
Feb 11, 2025 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address