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 Edward Huss

LPL Financial LLCBD affiliatedAppleton, Wi dual registrantIAPD 5316365

Feed of 09/15/2026

Also filed as Nicholas Edward Huss

At current firm

2 y

since Jun 24, 2024

In the industry

18 y

since Feb 1, 2008 (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

LPL Financial LLC BD affiliated current
since Jun 24, 2024 · Appleton, Wi
Ica Group Wealth Management, LLC former
Nov 30, 2021 to Sep 23, 2024 · Denver, Co
Huss Financial, LLC unclassified
Jul 9, 2020 to Dec 31, 2020 · Hortonville, Wi
LPL Financial LLC BD affiliated
Jul 9, 2018 to Jun 15, 2020 · Shawano, Wi
Cetera Investment Advisers LLC BD affiliated
May 7, 2015 to Nov 30, 2016 · Appleton, Wi
Sii Investments, Inc. former
Jun 7, 2012 to Apr 29, 2015 · Appleton, Wi
Investment Centers Of America, Inc. former
Jun 7, 2012 to Apr 29, 2015 · Appleton, Wi
M&I Financial Advisors, Inc. former
Apr 20, 2012 to Jul 12, 2012 · Appleton, Wi
M&I Investment Management Corp. former
Feb 18, 2011 to Apr 19, 2012 · Milwaukee, Wi
Northwestern Mutual Investment Services,LLC no RAUM
Oct 1, 2009 to Jan 26, 2010 · Appleton, Wi

Moves

a registration end followed by a registration begin elsewhere

Ica Group Wealth Management, LLC to LPL Financial LLC
left Sep 23, 2024, registered Jun 24, 2024 (-91 days) · RIA to affiliated broker-dealer or bank
Huss Financial, LLC to Ica Group Wealth Management, LLC
left Dec 31, 2020, registered Nov 30, 2021 (334 days) · Other
LPL Financial LLC to Huss Financial, LLC
left Jun 15, 2020, registered Jul 9, 2020 (24 days) · Other
Cetera Investment Advisers LLC to LPL Financial LLC
left Nov 30, 2016, registered Jul 9, 2018 (586 days) · corporate re-registration, not a move
Sii Investments, Inc. to Investment Centers Of America, Inc.
left Apr 29, 2015, registered Jun 7, 2012 (-1056 days) · channel change inside one enterprise, not a move
Investment Centers Of America, Inc. to Cetera Investment Advisers LLC
left Apr 29, 2015, registered May 7, 2015 (8 days) · Other
M&I Financial Advisors, Inc. to Sii Investments, Inc.
left Jul 12, 2012, registered Jun 7, 2012 (-35 days) · Other
M&I Investment Management Corp. to M&I Financial Advisors, Inc.
left Apr 19, 2012, registered Apr 20, 2012 (1 days) · channel change inside one enterprise, not a move
Northwestern Mutual Investment Services,LLC to M&I Investment Management Corp.
left Jan 26, 2010, registered Feb 18, 2011 (388 days) · Other

Signals

Nicholas Edward Huss left Ica Group Wealth Management, Llc for Lpl Financial Llc (registered 2024-06-24)
Sep 23, 2024 · 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address