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.
Registered advisor
Nicholas J Rubino
Feed of 09/14/2026
Also filed as Nicholas Joseph Rubino
At current firm
3 y
since Dec 12, 2022
In the industry
12 y
since Mar 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Charles Schwab Investment Management, Inc other currentsince Dec 12, 2022 · Jersey City, Nj
- Td Ameritrade Investment Management, LLC formerApr 22, 2019 to Sep 7, 2023 · Jersey City, Nj
- Td Ameritrade, Inc. formerApr 22, 2019 to Oct 14, 2022 · Jersey City, Nj
- Equinox Institutional Asset Management, LP formerSep 11, 2017 to Dec 31, 2018 · Princeton, Nj
- Commonwealth Financial Network national BDAug 18, 2015 to Nov 10, 2016 · New Hope, Pa
Moves
a registration end followed by a registration begin elsewhere
- Td Ameritrade Investment Management, LLC to Charles Schwab Investment Management, Incleft Sep 7, 2023, registered Dec 12, 2022 (-269 days) · channel change inside one enterprise, not a move · moved with a team
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Oct 14, 2022, registered Apr 22, 2019 (-1271 days) · corporate re-registration, not a move
- Equinox Institutional Asset Management, LP to Td Ameritrade, Inc.left Dec 31, 2018, registered Apr 22, 2019 (112 days) · Other
- Commonwealth Financial Network to Equinox Institutional Asset Management, LPleft Nov 10, 2016, registered Sep 11, 2017 (305 days) · Other
Signals
No dated event on this person.
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
- Other adviserderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address