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••••••• C••••• K•••••

E••••• J••••national BDChula Vista, Cadual registrantIAPD 5965673

Feed of 09/14/2026

Also filed as Nick C Kolata

At current firm

1 y

since Jun 6, 2025

In the industry

14 y

since Oct 3, 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

E••••• J•••• national BD current
since Jun 6, 2025 · Chula Vista, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 22, 2019 to Jun 20, 2025 · San Diego, Ca
P•• A••••••• independent RIA
Mar 7, 2017 to Jul 24, 2019 · Poway, Ca
U••• B•••••• A•••••••• L•• BD affiliated
May 8, 2014 to Jan 30, 2017 · Chula Vista, Ca
E••••• J•••• national BD
Oct 6, 2011 to Sep 12, 2012 · Maryland Heights, Mo

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Jun 20, 2025, registered Jun 6, 2025 (-14 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
P•• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 24, 2019, registered Jul 22, 2019 (-2 days) · RIA to wirehouse
U••• B•••••• A•••••••• L•• to P•• A•••••••
left Jan 30, 2017, registered Mar 7, 2017 (36 days) · Other
E••••• J•••• to U••• B•••••• A•••••••• L••
left Sep 12, 2012, registered May 8, 2014 (603 days) · Other

Signals

N••••••• C••••• K••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2025-06-06)
Jun 20, 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: 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