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.

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Registered advisor

N•••••••• J•••• C•••••

L•• F•••••••• L••BD affiliatedScottsdale, Azdual registrantIAPD 4728678

Feed of 09/14/2026

Also filed as Nate J. C•••••

At current firm

3 y

since Apr 25, 2023

In the industry

22 y

since Mar 3, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Apr 25, 2023 · Scottsdale, Az
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 14, 2015 to May 5, 2023 · Phoenix, Az
E•••••••• A•••••••• L•• national BD
Jun 2, 2011 to Dec 15, 2015 · Irvine, Ca
C•••• I••••••••• S••••••• C•••• former
Jan 12, 2010 to Jun 1, 2011 · Tustin, Ca
C•••• I••••••••• S••••••• C•••• former
Sep 12, 2006 to Oct 24, 2006 · Tucson, Az

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••
left May 5, 2023, registered Apr 25, 2023 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
E•••••••• A•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 15, 2015, registered Dec 14, 2015 (-1 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to E•••••••• A•••••••• L••
left Jun 1, 2011, registered Jun 2, 2011 (1 days) · Other

Signals

N•••••••• J•••• C••••• left S•••••• N••••••• • C••••••• I••••••••• for L•• F•••••••• L•• (registered 2023-04-25)
May 5, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address