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
John O Nauss
Feed of 09/15/2026
Also filed as John O Nauss
At current firm
4 y
since Jun 8, 2022
In the industry
17 y
since Mar 12, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- Advice And Planning Services BD affiliated currentsince Jun 8, 2022 · North Bethesda, Md
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseSep 25, 2012 to Apr 18, 2013 · Pennington, Nj
- Wescott Financial Advisory Group LLC independent RIANov 12, 2009 to May 15, 2012
- Ameriprise Advisor Services, Inc. unclassifiedMay 5, 2009 to Oct 2, 2009 · Mount Laurel, Nj
- Ameriprise Financial Services, LLC national BDMar 12, 2009 to Apr 16, 2009 · Voorhees, Nj
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Advice And Planning Servicesleft Apr 18, 2013, registered Jun 8, 2022 (3338 days) · Wirehouse to affiliated broker-dealer or bank
- Wescott Financial Advisory Group LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 15, 2012, registered Sep 25, 2012 (133 days) · Other
- Ameriprise Advisor Services, Inc. to Wescott Financial Advisory Group LLCleft Oct 2, 2009, registered Nov 12, 2009 (41 days) · Other
- Ameriprise Financial Services, LLC to Ameriprise Advisor Services, Inc.left Apr 16, 2009, registered May 5, 2009 (19 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address