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
Alec L Nielsen
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Alec Nielsen
At current firm
3 y
since Jun 1, 2023
In the industry
15 y
since Aug 30, 2011 (earliest exam, job or registration)
Prior registered firms
4
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
- Wells Fargo Advisors wirehouse currentsince Jun 1, 2023 · West Des Moines, Ia
- Investment Advisors Corp formerApr 4, 2016 to Oct 20, 2018 · West Des Moines, Ia
- Arete Wealth Advisors, LLC BD affiliatedJun 24, 2015 to Mar 10, 2016 · West Des Moines, Ia
- Synergy Investment Group, LLC formerMay 23, 2014 to Jun 10, 2015 · Kannapolis, Nc
- Dewaay Capital Management formerAug 31, 2011 to Aug 28, 2012 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- Investment Advisors Corp to Wells Fargo Advisorsleft Oct 20, 2018, registered Jun 1, 2023 (1685 days) · Affiliated broker-dealer or bank to wirehouse
- Arete Wealth Advisors, LLC to Investment Advisors Corpleft Mar 10, 2016, registered Apr 4, 2016 (25 days) · Other
- Synergy Investment Group, LLC to Arete Wealth Advisors, LLCleft Jun 10, 2015, registered Jun 24, 2015 (14 days) · Other
- Dewaay Capital Management to Synergy Investment Group, LLCleft Aug 28, 2012, registered May 23, 2014 (633 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address