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••••• R••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedFarmington, Ut IA-onlyIAPD 6025708

Certified Financial Planner

Feed of 09/14/2026

Also filed as Nicole L Polatis

At current firm

2 y

since Jul 1, 2024

In the industry

14 y

since Apr 21, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jul 1, 2024 · Plymouth, Mn
R••• H•••• F•••••••• former
Sep 4, 2018 to Jul 3, 2024 · Farmington, Ut
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA
Aug 8, 2017 to May 29, 2019 · Farmington, Ut
W•••••• • R••• former
Sep 30, 2014 to Aug 14, 2017 · Clearfield, Ut

Moves

a registration end followed by a registration begin elsewhere

R••• H•••• F•••••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Jul 3, 2024, registered Jul 1, 2024 (-2 days) · RIA to RIA · moved with a team
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to R••• H•••• F••••••••
left May 29, 2019, registered Sep 4, 2018 (-267 days) · RIA to a newly registered adviser · moved with a team
W•••••• • R••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Aug 14, 2017, registered Aug 8, 2017 (-6 days) · Other

Signals

N••••• L••••• R•••••• left R••• H•••• F•••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-07-01)
Jul 3, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address