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

Z•••••• L• N••••••

C•••••• S••••• • C••• I•••national BDOmaha, Ne dual registrantIAPD 5865819

Feed of 09/15/2026

Also filed as Z•••••• Lee N••••••

At current firm

4 y

since Jun 15, 2022

In the industry

14 y

since Aug 14, 2012 (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•••••• S••••• • C••• I••• national BD current
since Jun 15, 2022 · West Des Moines, Ia
M•••••• H••••••• F•••••••• A••••••• independent RIA
Jan 18, 2022 to May 31, 2022 · West Des Moines, Ia
U••• B•••••• I••••••••• I••• former
Oct 13, 2021 to Dec 24, 2021 · Des Moines, Ia
A••••• A•• P••••••• S••••••• BD affiliated
Jun 3, 2014 to Nov 13, 2020 · Ames, Ia
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Aug 16, 2012 to May 23, 2014 · Colorado Springs, Co

Moves

a registration end followed by a registration begin elsewhere

M•••••• H••••••• F•••••••• A••••••• to C•••••• S••••• • C••• I•••
left May 31, 2022, registered Jun 15, 2022 (15 days) · RIA to affiliated broker-dealer or bank
U••• B•••••• I••••••••• I••• to M•••••• H••••••• F•••••••• A•••••••
left Dec 24, 2021, registered Jan 18, 2022 (25 days) · Affiliated broker-dealer or bank to independent RIA
A••••• A•• P••••••• S••••••• to U••• B•••••• I••••••••• I•••
left Nov 13, 2020, registered Oct 13, 2021 (334 days) · Affiliated broker-dealer or bank to another
T• R••• P•••• A••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••
left May 23, 2014, registered Jun 3, 2014 (11 days) · Other

Signals

Z•••••• L• N•••••• left M•••••• H••••••• F•••••••• A••••••• for C•••••• S••••• • C••• I••• (registered 2022-06-15)
May 31, 2022 · 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address