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••••• T••• D••••

H••••• • A••••••••• F•••••••• G•••• I•••independent RIAElk Grove, Ca IA-onlyIAPD 4738406

Feed of 09/15/2026

Also filed as Nick D••••

At current firm

6 y

since Sep 23, 2019

In the industry

30 y

since Jan 1, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••••• • A••••••••• F•••••••• G•••• I••• independent RIA current
since Mar 10, 2021 · Elk Grove, Ca
B•••••••• I••••••••• A•• T•• P••••••• state registered current
since Sep 23, 2019 · Elk Grove, Ca
C••••• T•• A•• F•••••••• I••• state registered
Jan 22, 2021 to Jan 6, 2022 · Elk Grove, Ca
B•••••••• W••••• P•••••••• L•• unclassified
Jan 5, 2019 to Oct 5, 2019 · Elk Grove, Ca
V••••• C•••••• M••••••••• L•• independent RIA
May 27, 2014 to Jan 18, 2019 · Elk Grove, Ca
C•••••• A••••••• S•••••••• L•• independent RIA
Jun 27, 2013 to Sep 16, 2014 · Santa Clarita, Ca
G••••• F•••••••• P•••••• C••••••• I••• former
Apr 19, 2010 to Apr 18, 2012 · Oxnard, Ca
E••••••• I••••••••• A•••••••• L•• unclassified
Jan 12, 2009 to Jul 22, 2009 · Santa Clarita, Ca
E••••••• I••••••••• A•••••••• L•• unclassified
Jul 10, 2008 to Dec 31, 2008 · Santa Clarita, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• T•• A•• F•••••••• I••• to H••••• • A••••••••• F•••••••• G•••• I•••
left Jan 6, 2022, registered Mar 10, 2021 (-302 days) · Other
B•••••••• W••••• P•••••••• L•• to B•••••••• I••••••••• A•• T•• P•••••••
left Oct 5, 2019, registered Sep 23, 2019 (-12 days) · Other · moved with a team
V••••• C•••••• M••••••••• L•• to B•••••••• W••••• P•••••••• L••
left Jan 18, 2019, registered Jan 5, 2019 (-13 days) · Other
C•••••• A••••••• S•••••••• L•• to V••••• C•••••• M••••••••• L••
left Sep 16, 2014, registered May 27, 2014 (-112 days) · Other
G••••• F•••••••• P•••••• C••••••• I••• to C•••••• A••••••• S•••••••• L••
left Apr 18, 2012, registered Jun 27, 2013 (435 days) · Other
E••••••• I••••••••• A•••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••
left Jul 22, 2009, registered Apr 19, 2010 (271 days) · Other

Signals

N••••• T••• D•••• left C••••• T•• A•• F•••••••• I••• for H••••• • A••••••••• F•••••••• G•••• I••• (registered 2021-03-10)
Jan 6, 2022 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address