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
Nicole Mayer
Feed of 09/15/2026
Also filed as Nicole Mayer
At current firm
4 y
since Aug 16, 2022
In the industry
20 y
since Sep 14, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Allworth Financial, L.P. BD affiliated currentsince Aug 16, 2022 · Riverwoods, Il
- Arbor Point Advisors formerAug 19, 2019 to Aug 16, 2022 · Riverwoods, Il
- Securities America Advisors, Inc. formerOct 27, 2017 to Aug 16, 2022 · Riverwoods, Il
- Advantage Investment Management, LLC formerJul 21, 2009 to Oct 12, 2012 · Riverwood, Il
- National Planning Corporation ("Npc Of America" In Fl & Ny) formerJul 13, 2009 to Nov 1, 2017 · Riverwoods, Il
- Equitable Advisors, LLC national BDSep 15, 2006 to Jul 16, 2009 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- Securities America Advisors, Inc. to Arbor Point Advisorsleft Aug 16, 2022, registered Aug 19, 2019 (-1093 days) · channel change inside one enterprise, not a move · moved with a team
- Arbor Point Advisors to Allworth Financial, L.P.left Aug 16, 2022, registered Aug 16, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- National Planning Corporation ("Npc Of America" In Fl & Ny) to Advantage Investment Management, LLCleft Nov 1, 2017, registered Jul 21, 2009 (-3025 days) · Other · moved with a team
- Advantage Investment Management, LLC to Securities America Advisors, Inc.left Oct 12, 2012, registered Oct 27, 2017 (1841 days) · Other
- Equitable Advisors, LLC to National Planning Corporation ("Npc Of America" In Fl & Ny)left Jul 16, 2009, registered Jul 13, 2009 (-3 days) · Other
Signals
- Nicole Mayer left Arbor Point Advisors for Allworth Financial, L.P. (registered 2022-08-16)Aug 16, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address