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 Daniel Deering
Certified Financial Planner
Feed of 09/15/2026
At current firm
9 y
since Aug 17, 2017
In the industry
18 y
since May 30, 2008 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cetera Investment Advisers LLC BD affiliated currentsince Aug 17, 2017 · Madison, Wi
- Cambridge Investment Research Advisors, Inc. BD affiliatedAug 13, 2014 to Aug 3, 2017 · Sheboygan, Wi
- Financial Telesis, Inc. formerJan 25, 2013 to Aug 14, 2014 · San Rafael, Ca
- Principal Securities, Inc. BD affiliatedOct 28, 2009 to Feb 19, 2013 · Sheboygan, Wi
- LPL Financial LLC BD affiliatedOct 1, 2009 to Oct 27, 2009 · San Diego, Ca
- Waddell & Reed formerJul 18, 2008 to Jul 30, 2009 · Waukesha, Wi
Moves
a registration end followed by a registration begin elsewhere
- Cambridge Investment Research Advisors, Inc. to Cetera Investment Advisers LLCleft Aug 3, 2017, registered Aug 17, 2017 (14 days) · Other
- Financial Telesis, Inc. to Cambridge Investment Research Advisors, Inc.left Aug 14, 2014, registered Aug 13, 2014 (-1 days) · Other
- Principal Securities, Inc. to Financial Telesis, Inc.left Feb 19, 2013, registered Jan 25, 2013 (-25 days) · Other
- LPL Financial LLC to Principal Securities, Inc.left Oct 27, 2009, registered Oct 28, 2009 (1 days) · Other
- Waddell & Reed to LPL Financial LLCleft Jul 30, 2009, registered Oct 1, 2009 (63 days) · Other
Signals
No dated event on this person.
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address