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
Andrew M. Nakagawa
Feed of 09/14/2026
Also filed as Andy Nakagawa
At current firm
5 y
since Nov 24, 2020
In the industry
18 y
since Apr 21, 2008 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
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
- J.P. Morgan Securities LLC wirehouse currentsince Nov 24, 2020 · Westlake Village, Ca
- LPL Financial LLC BD affiliatedJun 9, 2017 to Dec 11, 2020 · Woodland Hills, Ca
- Wells Fargo Advisors wirehouseAug 21, 2014 to Mar 21, 2017 · West Hills, Ca
- U.S. Bancorp Advisors, LLC BD affiliatedMar 14, 2013 to Jul 17, 2014 · Thousand Oaks, Ca
- Cetera Investment Services LLC formerJul 25, 2012 to Dec 20, 2012 · Port Hueneme, Ca
- Chase Investment Services Corp. formerMar 22, 2010 to Feb 3, 2011 · Thousand Oaks, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseOct 23, 2009 to Mar 23, 2010 · Tarzana, Ca
- Banc Of America Investment Services, Inc. unclassifiedApr 23, 2008 to Oct 23, 2009 · Westlake Village, Ca
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to J.P. Morgan Securities LLCleft Dec 11, 2020, registered Nov 24, 2020 (-17 days) · Affiliated broker-dealer or bank to wirehouse
- Wells Fargo Advisors to LPL Financial LLCleft Mar 21, 2017, registered Jun 9, 2017 (80 days) · Other
- U.S. Bancorp Advisors, LLC to Wells Fargo Advisorsleft Jul 17, 2014, registered Aug 21, 2014 (35 days) · Other
- Cetera Investment Services LLC to U.S. Bancorp Advisors, LLCleft Dec 20, 2012, registered Mar 14, 2013 (84 days) · Other
- Chase Investment Services Corp. to Cetera Investment Services LLCleft Feb 3, 2011, registered Jul 25, 2012 (538 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Chase Investment Services Corp.left Mar 23, 2010, registered Mar 22, 2010 (-1 days) · Other
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address