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••••••• J••• D••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedErie, Codual registrantIAPD 6356236

Feed of 09/14/2026

Also filed as Nick Dodds

At current firm

1 y

since Jun 2, 2025

In the industry

12 y

since Aug 20, 2014 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jun 2, 2025 · Erie, Co
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Jan 11, 2022 to Jun 5, 2025 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
May 19, 2021 to Dec 2, 2021 · Charlotte, Nc
L••••• T••••• A••••••• S•••••••• L•• independent RIA
Mar 18, 2021 to Apr 26, 2021 · Charlotte, Nc
V••••••• A•••••••• I••• BD affiliated
Sep 5, 2019 to Mar 3, 2021 · Charlotte, Nc
U••• F•••••••• P••••••• S••••••• former
Nov 14, 2014 to Nov 11, 2016 · Tampa, Fl
E•••••••• A•••••••• L•• national BD
Aug 20, 2014 to Oct 30, 2014 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

N••••••••• M••••• I••••••••• S••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jun 5, 2025, registered Jun 2, 2025 (-3 days) · Other
W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Dec 2, 2021, registered Jan 11, 2022 (40 days) · Other
L••••• T••••• A••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Apr 26, 2021, registered May 19, 2021 (23 days) · RIA to wirehouse
V••••••• A•••••••• I••• to L••••• T••••• A••••••• S•••••••• L••
left Mar 3, 2021, registered Mar 18, 2021 (15 days) · Affiliated broker-dealer or bank to independent RIA
U••• F•••••••• P••••••• S••••••• to V••••••• A•••••••• I•••
left Nov 11, 2016, registered Sep 5, 2019 (1028 days) · Other
E•••••••• A•••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Oct 30, 2014, registered Nov 14, 2014 (15 days) · Other

Signals

N••••••• J••• D•••• left N••••••••• M••••• I••••••••• S••••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-06-02)
Jun 5, 2025 · 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