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

C•••• N•••••• C••••••

W•••• F•••• A•••••••wirehouseScottsdale, Azdual registrantIAPD 5665157

Feed of 09/14/2026

Also filed as C•••• Nicole Hugi

At current firm

1 y

since Jul 2, 2025

In the industry

17 y

since Aug 13, 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

W•••• F•••• A••••••• wirehouse current
since Jul 2, 2025 · Scottsdale, Az
C•••••• S••••• • C••• I••• national BD
Dec 11, 2019 to Jul 18, 2025 · Phoenix, Az
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Nov 21, 2019 · Boston, Ma
S•••••••• A••••••• L•• national BD
Jul 19, 2012 to Jul 13, 2018 · Scottsdale, Az
W•••• F•••• I••••••••• L•• unclassified
Sep 10, 2009 to Oct 19, 2010 · Glendale, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••
left Jul 18, 2025, registered Jul 2, 2025 (-16 days) · Affiliated broker-dealer or bank to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••
left Nov 21, 2019, registered Dec 11, 2019 (20 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
W•••• F•••• I••••••••• L•• to S•••••••• A••••••• L••
left Oct 19, 2010, registered Jul 19, 2012 (639 days) · Other

Signals

C•••• N•••••• C•••••• left C•••••• S••••• • C••• I••• for W•••• F•••• A••••••• (registered 2025-07-02)
Jul 18, 2025 · 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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address