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••••••• S••••• H••••

M••••••BD affiliatedPleasant Hill, Ca IA-onlyIAPD 6256081

Certified Financial Planner

Feed of 09/14/2026

Also filed as Nick S••••• H••••

At current firm

1 y

since Sep 17, 2025

In the industry

12 y

since Dec 6, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since Sep 17, 2025 · Walnut Creek, Ca
D••••••• W••••• M••••••••• L•• unclassified
Dec 4, 2024 to Sep 17, 2025 · Walnut Creek, Ca
H•• A•••••••• I••• independent RIA
May 6, 2022 to Nov 6, 2024 · Berkeley, Ca
P•••• W••••• M••••••••• unclassified
Nov 23, 2021 to Feb 25, 2022 · Berkeley, Ca
F••••• I••••••••• independent RIA
Mar 26, 2019 to Nov 3, 2021 · San Mateo, Ca
E••••• J•••• national BD
Feb 3, 2014 to Sep 10, 2014 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

D••••••• W••••• M••••••••• L•• to M••••••
left Sep 17, 2025, registered Sep 17, 2025 (0 days) · Other
H•• A•••••••• I••• to D••••••• W••••• M••••••••• L••
left Nov 6, 2024, registered Dec 4, 2024 (28 days) · Other
P•••• W••••• M••••••••• to H•• A•••••••• I•••
left Feb 25, 2022, registered May 6, 2022 (70 days) · Other
F••••• I••••••••• to P•••• W••••• M•••••••••
left Nov 3, 2021, registered Nov 23, 2021 (20 days) · Other
E••••• J•••• to F••••• I•••••••••
left Sep 10, 2014, registered Mar 26, 2019 (1658 days) · Affiliated broker-dealer or bank to independent RIA

Signals

N••••••• S••••• H•••• left D••••••• W••••• M••••••••• L•• for Mariner (registered 2025-09-17)
Sep 17, 2025 · Advisor changed firm · fact
N••••••• S••••• H•••• left H•• A•••••••• I••• for D••••••• W••••• M••••••••• L•• (registered 2024-12-04)
Nov 6, 2024 · Advisor changed firm · fact
N••••••• S••••• H•••• left P•••• W••••• M••••••••• for H•• A•••••••• I••• (registered 2022-05-06)
Feb 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address