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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

N••••••• L••

H•••••••• A•••••••• L••BD affiliatedHouston, Tx IA-onlyIAPD 5610191

Feed of 09/14/2026

Also filed as Nick Low

At current firm

3 y

since Jul 19, 2023

In the industry

17 y

since Mar 9, 2009 (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

H•••••••• A•••••••• L•• BD affiliated current
since Jul 19, 2023 · Houston, Tx
A•••••• W••••• S•••••••• independent RIA
Nov 29, 2018 to Jun 28, 2023 · Houston, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Dec 14, 2018 · Katy, Tx
C•••• I••••••••• S••••••• C•••• former
Jun 23, 2011 to Oct 1, 2012 · Houston, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 12, 2009 to Jun 17, 2011 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

A•••••• W••••• S•••••••• to H•••••••• A•••••••• L••
left Jun 28, 2023, registered Jul 19, 2023 (21 days) · RIA to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to A•••••• W••••• S••••••••
left Dec 14, 2018, registered Nov 29, 2018 (-15 days) · Wirehouse to independent RIA
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Jun 17, 2011, registered Jun 23, 2011 (6 days) · Other

Signals

N••••••• L•• left A•••••• W••••• S•••••••• for H•••••••• A•••••••• L•• (registered 2023-07-19)
Jun 28, 2023 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address