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••••••• J•••

C••••••• P••••••• I••••••••• A•••••••• L••i••••••••• managerKnoxville, Tn IA-onlyIAPD 5862580

Feed of 09/15/2026

Also filed as Nick J•••

At current firm

13 y

since Aug 8, 2013

In the industry

15 y

since Feb 1, 2011 (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

C••••••• P••••••• I••••••••• A•••••••• L•• i••••••••• manager current
since Aug 8, 2013 · Newport Beach, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Dec 15, 2025 · Knoxville, Tn
S••••••• P•••••• C••••• G••••• L•• former
Aug 12, 2013 to Dec 31, 2015 · Newport Beach, Ca
C••••• A•••••• N••••••• L•• former
Jan 3, 2013 to Jun 29, 2023 · Knoxville, Tn
M••••• S•••••• wirehouse
Feb 2, 2011 to Aug 15, 2011 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to no registered destination
left Dec 15, 2025 · Departure, no registered destination
C••••• A•••••• N••••••• L•• to C••••••• P••••••• I••••••••• A•••••••• L••
left Jun 29, 2023, registered Aug 8, 2013 (-3612 days) · Other
S••••••• P•••••• C••••• G••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 31, 2015, registered Jun 29, 2023 (2737 days) · Other
M••••• S•••••• to C••••• A•••••• N••••••• L••
left Aug 15, 2011, registered Jan 3, 2013 (507 days) · Other

Signals

N••••••• L••••••• J••• no longer registered at C••••• I••••••••• A••••••• L••; no later IA registration on IAPD
Dec 15, 2025 · a•••••• departure · fact
N••••••• L••••••• J••• left C••••• A•••••• N••••••• L•• for C••••••• P••••••• I••••••••• A•••••••• L•• (registered 2013-08-08)
Jun 29, 2023 · a•••••• firm change · 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: I••••••••• MANAGERderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address