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••••••• W••••• L•••••

R•••••• J•••• • A••••••••• I•••national BDWalnut Creek, Cadual registrantIAPD 5164829

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as Nik L•••••

At current firm

2 y

since Jul 30, 2024

In the industry

20 y

since Jul 17, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Jul 30, 2024 · Walnut Creek, Ca
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 31, 2023 to Jul 31, 2024 · San Ramon, Ca
S••••••• F•••••••• S•••••••• I••• former
Jun 6, 2019 to May 31, 2023 · San Ramon, Ca
M••••••• W••••• state registered
Mar 9, 2017 to Sep 5, 2019 · Castro Valley, Ca
L•• F•••••••• L•• BD affiliated
Dec 14, 2016 to Jun 19, 2019 · Danville, Ca
A••••••• A••••••• S••••••• former
Jan 28, 2014 to Dec 27, 2016 · Lincoln, Ne

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Jul 31, 2024, registered Jul 30, 2024 (-1 days) · Affiliated broker-dealer or bank to another
S••••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 31, 2023, registered May 31, 2023 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
M••••••• W••••• to S••••••• F•••••••• S•••••••• I•••
left Sep 5, 2019, registered Jun 6, 2019 (-91 days) · Other
L•• F•••••••• L•• to M••••••• W•••••
left Jun 19, 2019, registered Mar 9, 2017 (-832 days) · RIA to a state-registered adviser
A••••••• A••••••• S••••••• to L•• F•••••••• L••
left Dec 27, 2016, registered Dec 14, 2016 (-13 days) · Other

Signals

N••••••• W••••• L••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for R•••••• J•••• • A••••••••• I••• (registered 2024-07-30)
Jul 31, 2024 · Advisor changed firm · fact
N••••••• W••••• L••••• left S••••••• F•••••••• S•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-05-31)
May 31, 2023 · 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address