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
Nikki Kay Polistina
Certified Financial Planner
Feed of 09/14/2026
Also filed as Nikki Kay Sutcliffe
At current firm
0 y
since Apr 9, 2026
In the industry
21 y
since Sep 9, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Transce3nd LLC independent RIA currentsince Apr 9, 2026 · Buda, Tx
- Stableford Capital LLC independent RIAJun 14, 2018 to Apr 10, 2026 · Scottsdale, Az
- Charles Schwab & Co., Inc. national BDMay 22, 2015 to Apr 16, 2018 · Phoenix, Az
- Schwab Wealth Advisory, Inc. no RAUMMay 28, 2013 to May 22, 2015 · Phoenix, Az
- Girard Advisory Services, LLC independent RIAMay 13, 2011 to May 10, 2013 · King Of Prussia, Pa
- Girard Advisory Services, LLC independent RIAMay 10, 2006 to Dec 8, 2010 · King Of Prussia, Pa
- Ameriprise Financial Services, LLC national BDSep 12, 2005 to Apr 3, 2006 · W. Conshohocken, Pa
Moves
a registration end followed by a registration begin elsewhere
- Stableford Capital LLC to Transce3nd LLCleft Apr 10, 2026, registered Apr 9, 2026 (-1 days) · RIA to RIA
- Charles Schwab & Co., Inc. to Stableford Capital LLCleft Apr 16, 2018, registered Jun 14, 2018 (59 days) · Affiliated broker-dealer or bank to independent RIA
- Schwab Wealth Advisory, Inc. to Charles Schwab & Co., Inc.left May 22, 2015, registered May 22, 2015 (0 days) · channel change inside one enterprise, not a move
- Girard Advisory Services, LLC to Schwab Wealth Advisory, Inc.left May 10, 2013, registered May 28, 2013 (18 days) · Other
- Ameriprise Financial Services, LLC to Girard Advisory Services, LLCleft Apr 3, 2006, registered May 10, 2006 (37 days) · Other
Signals
- Nikki Kay Polistina left Stableford Capital Llc for Transce3Nd Llc (registered 2026-04-09)Apr 10, 2026 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address