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

Nina Jeanne Rose

Advice And Planning ServicesBD affiliatedBellevue, Wa dual registrantIAPD 5202578

Feed of 09/15/2026

Also filed as Nina Rose

At current firm

2 y

since Oct 3, 2023

In the industry

19 y

since Oct 21, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Advice And Planning Services BD affiliated current
since Oct 3, 2023 · Bellevue, Wa
The Clarius Group, LLC former
May 12, 2023 to Sep 7, 2023 · Seattle, Wa
Advice And Planning Services BD affiliated
Aug 22, 2022 to Apr 20, 2023 · Bellevue, Wa
Coldstream Wealth Management independent RIA
Dec 3, 2014 to May 2, 2022 · Bellevue, Wa
Schwab Wealth Advisory, Inc. no RAUM
Jan 3, 2012 to Dec 11, 2012 · Phoenix, Az
Charles Schwab & Co., Inc. national BD
May 13, 2008 to Nov 12, 2014 · Seattle, Wa
Wells Fargo Advisors wirehouse
Jan 1, 2008 to May 1, 2008 · Seattle, Wa
A. G. Edwards & Sons, Inc. unclassified
Oct 23, 2006 to Jan 1, 2008 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

The Clarius Group, LLC to Advice And Planning Services
left Sep 7, 2023, registered Oct 3, 2023 (26 days) · RIA to affiliated broker-dealer or bank
Advice And Planning Services to The Clarius Group, LLC
left Apr 20, 2023, registered May 12, 2023 (22 days) · Affiliated broker-dealer or bank to independent RIA
Coldstream Wealth Management to Advice And Planning Services
left May 2, 2022, registered Aug 22, 2022 (112 days) · RIA to affiliated broker-dealer or bank
Charles Schwab & Co., Inc. to Schwab Wealth Advisory, Inc.
left Nov 12, 2014, registered Jan 3, 2012 (-1044 days) · channel change inside one enterprise, not a move
Schwab Wealth Advisory, Inc. to Coldstream Wealth Management
left Dec 11, 2012, registered Dec 3, 2014 (722 days) · Other
Wells Fargo Advisors to Charles Schwab & Co., Inc.
left May 1, 2008, registered May 13, 2008 (12 days) · Wirehouse to affiliated broker-dealer or bank
A. G. Edwards & Sons, Inc. to Wells Fargo Advisors
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

Nina Jeanne Rose left The Clarius Group, Llc for Advice And Planning Services (registered 2023-10-03)
Sep 7, 2023 · Advisor changed firm · fact
Nina Jeanne Rose left Advice And Planning Services for The Clarius Group, Llc (registered 2023-05-12)
Apr 20, 2023 · Advisor changed firm · fact
Nina Jeanne Rose left Coldstream Wealth Management for Advice And Planning Services (registered 2022-08-22)
May 2, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address