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

Nicholas Arthur Nielsen

Raymond James Financial Services Advisors, IncBD affiliatedCharlotte, Ncdual registrantIAPD 5155596

Certified Financial Planner

Feed of 09/14/2026

Also filed as Nic Nielsen

At current firm

0 y

since Jan 22, 2026

In the industry

20 y

since Jul 7, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Raymond James Financial Services Advisors, Inc BD affiliated current
since Jan 22, 2026 · Charlotte, Nc
Independent Advisor Alliance, LLC independent RIA
Sep 1, 2017 to Jan 22, 2026 · Charlotte, Nc
Truist Advisory Services, Inc. BD affiliated
Sep 14, 2016 to Sep 6, 2017 · Indian Trail, Nc
Suntrust Investment Services, Inc. former
Sep 3, 2013 to Dec 31, 2016 · Indian Trail, Nc
Pnc Wealth Management BD affiliated
May 27, 2010 to Sep 3, 2013 · Gastonia, Nc
Pnc Wealth Management BD affiliated
Nov 13, 2009 to Apr 27, 2010 · Louisville, Ky
Natcity Investments, Inc. unclassified
Sep 10, 2009 to Nov 13, 2009 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

Independent Advisor Alliance, LLC to Raymond James Financial Services Advisors, Inc
left Jan 22, 2026, registered Jan 22, 2026 (0 days) · Other
Truist Advisory Services, Inc. to Independent Advisor Alliance, LLC
left Sep 6, 2017, registered Sep 1, 2017 (-5 days) · Other · moved with a team
Suntrust Investment Services, Inc. to Truist Advisory Services, Inc.
left Dec 31, 2016, registered Sep 14, 2016 (-108 days) · corporate re-registration, not a move
Pnc Wealth Management to Suntrust Investment Services, Inc.
left Sep 3, 2013, registered Sep 3, 2013 (0 days) · Other
Natcity Investments, Inc. to Pnc Wealth Management
left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move

Signals

Nicholas Arthur Nielsen left Independent Advisor Alliance, Llc for Raymond James Financial Services Advisors, Inc (registered 2026-01-22)
Jan 22, 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: 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