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••••••• H••••

P•• W••••• M•••••••••BD affiliatedLodi, Ca dual registrantIAPD 6276948

Feed of 09/15/2026

Also filed as Nick Hagan

At current firm

2 y

since Apr 10, 2024

In the industry

12 y

since Nov 1, 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•• W••••• M••••••••• BD affiliated current
since Apr 10, 2024 · Stockton, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 3, 2022 to Apr 15, 2024 · Sacramento, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 4, 2022 to Oct 10, 2022 · Elk Grove, Ca
P•• W••••• M••••••••• BD affiliated
Sep 1, 2021 to Feb 22, 2022 · Stockton, Ca
J••• M••••• S••••••••• L•• wirehouse
Nov 2, 2020 to Jun 14, 2021 · Plymouth, Mn
W•••• F•••• A••••••• wirehouse
Jul 1, 2020 to Sep 30, 2020 · Minneapolis, Mn
J••• M••••• S••••••••• L•• wirehouse
Sep 25, 2018 to Jun 10, 2020 · Antioch, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 23, 2018 to Sep 20, 2018 · Danville, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••
left Apr 15, 2024, registered Apr 10, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 10, 2022, registered Nov 3, 2022 (24 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 22, 2022, registered Apr 4, 2022 (41 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••
left Jun 14, 2021, registered Sep 1, 2021 (79 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Sep 30, 2020, registered Nov 2, 2020 (33 days) · Wirehouse to wirehouse
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Jun 10, 2020, registered Jul 1, 2020 (21 days) · Wirehouse to wirehouse · moved with a team
C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left Sep 20, 2018, registered Sep 25, 2018 (5 days) · Affiliated broker-dealer or bank to wirehouse

Signals

N••••••• H•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•• W••••• M••••••••• (registered 2024-04-10)
Apr 15, 2024 · Advisor changed firm · fact
N••••••• H•••• left F••••••• P••••••• A•• W•••••••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-11-03)
Oct 10, 2022 · Advisor changed firm · fact
N••••••• H•••• left P•• W••••• M••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-04)
Feb 22, 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