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•• S••••••

B•••••• I••••••••• M••••••••• I••mixed wealthOmaha, NeIA-onlyIAPD 6000651

Certified Financial Planner

Feed of 09/14/2026

Also filed as Nick Lee S••••••

At current firm

2 y

since Jun 28, 2024

In the industry

13 y

since Aug 15, 2013 (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

B•••••• I••••••••• M••••••••• I•• mixed wealth current
since Jun 28, 2024 · Omaha, Ne
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Jun 4, 2024 · Omaha, Ne
W••••••• F•••••••• S•••••••• I••• former
Mar 9, 2023 to Jan 19, 2024 · Elkhorn, Ne
A••••••• A••••••• S•••••••• L•• BD affiliated
Jun 17, 2022 to Dec 31, 2022 · Omaha, Ne
P•••• S••••••••• L•• no RAUM
Dec 6, 2017 to Jun 3, 2022 · Omaha, Ne
E••••• J•••• national BD
Jun 20, 2014 to Nov 1, 2017 · Omaha, Ne
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 5, 2014 to Jun 16, 2014 · Omaha, Ne
L•• F•••••••• L•• BD affiliated
Aug 16, 2013 to Feb 3, 2014 · Gilbert, Az

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to B•••••• I••••••••• M••••••••• I••
left Jun 4, 2024, registered Jun 28, 2024 (24 days) · Affiliated broker-dealer or bank to independent RIA
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
A••••••• A••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Dec 31, 2022, registered Mar 9, 2023 (68 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to A••••••• A••••••• S•••••••• L••
left Jun 3, 2022, registered Jun 17, 2022 (14 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to P•••• S••••••••• L••
left Nov 1, 2017, registered Dec 6, 2017 (35 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Jun 16, 2014, registered Jun 20, 2014 (4 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 3, 2014, registered Mar 5, 2014 (30 days) · Other

Signals

N•••••••• L•• S•••••• left O•••• W•••••• I••• for B•••••• I••••••••• M••••••••• I•• (registered 2024-06-28)
Jun 4, 2024 · Advisor changed firm · fact
N•••••••• L•• S•••••• left A••••••• A••••••• S•••••••• L•• for W••••••• F•••••••• S•••••••• I••• (registered 2023-03-09)
Dec 31, 2022 · Advisor changed firm · fact
N•••••••• L•• S•••••• left P•••• S••••••••• L•• for A••••••• A••••••• S•••••••• L•• (registered 2022-06-17)
Jun 3, 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: Wealth manager with institutional or fund businessderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address