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.

Registered advisor

Aj Helgerson

Nomura Investment Management Business Trustasset managerOrono, Mn dual registrantIAPD 4835978

Feed of 09/15/2026

At current firm

3 y

since Feb 22, 2023

In the industry

21 y

since Jun 4, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Nomura Investment Management Business Trust asset manager current
since Feb 22, 2023 · Orono, Mn
Hartford Funds asset manager
Oct 6, 2022 to Jan 19, 2023 · Orono, Mn
Nomura Investment Management Business Trust asset manager
Apr 20, 2020 to Oct 6, 2022 · Philadelphia, Pa
Delaware Capital Management Advisers, Inc former
Jul 22, 2014 to Apr 20, 2020 · Philadelphia, Pa
Advisors Asset Management, Inc. mixed wealth
Jan 4, 2011 to Jul 18, 2014 · Chicago, Il
Columbia Management Investment Advisers, LLC asset manager
Nov 12, 2008 to Dec 7, 2009 · Boston, Ma
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jun 6, 2005 to Feb 12, 2007 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

Hartford Funds to Nomura Investment Management Business Trust
left Jan 19, 2023, registered Feb 22, 2023 (34 days) · Other
Nomura Investment Management Business Trust to Hartford Funds
left Oct 6, 2022, registered Oct 6, 2022 (0 days) · Other
Delaware Capital Management Advisers, Inc to Nomura Investment Management Business Trust
left Apr 20, 2020, registered Apr 20, 2020 (0 days) · corporate re-registration, not a move
Advisors Asset Management, Inc. to Delaware Capital Management Advisers, Inc
left Jul 18, 2014, registered Jul 22, 2014 (4 days) · Other
Columbia Management Investment Advisers, LLC to Advisors Asset Management, Inc.
left Dec 7, 2009, registered Jan 4, 2011 (393 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Columbia Management Investment Advisers, LLC
left Feb 12, 2007, registered Nov 12, 2008 (639 days) · Other

Signals

Aj Helgerson left Hartford Funds for Nomura Investment Management Business Trust (registered 2023-02-22)
Jan 19, 2023 · Advisor changed firm · fact
Aj Helgerson left Nomura Investment Management Business Trust for Hartford Funds (registered 2022-10-06)
Oct 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address