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 David Faller

Osaic Advisory Services, LLCBD affiliatedBloomfield Hills, Mi dual registrantIAPD 6494504

Certified Financial Planner

Feed of 09/15/2026

Also filed as Nicholas Faller

At current firm

0 y

since Dec 17, 2025

In the industry

10 y

since Nov 1, 2015 (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

Osaic Advisory Services, LLC BD affiliated current
since Dec 17, 2025 · Atlanta, Ga
Cetera Investment Advisers LLC BD affiliated
Jun 29, 2023 to Jan 29, 2026 · Newport Beach, Ca
Cetera Advisor Networks LLC former
Feb 24, 2023 to Jun 29, 2023 · Newport Beach, Ca
Creative Planning Institutional Advisors, LLC institutional
Jan 11, 2022 to Dec 19, 2025 · Newport Beach, Ca
Cetera Investment Advisers LLC BD affiliated
Nov 12, 2020 to Feb 24, 2023 · Bloomfield Hills, Mi
First Allied Advisory Services, Inc. former
Jul 10, 2020 to Nov 12, 2020 · Bloomfield Hills, Mi
Citizens Securities, Inc. BD affiliated
Aug 1, 2019 to Jul 3, 2020 · Southfield, Mi

Moves

a registration end followed by a registration begin elsewhere

Cetera Investment Advisers LLC to Osaic Advisory Services, LLC
left Jan 29, 2026, registered Dec 17, 2025 (-43 days) · Affiliated broker-dealer or bank to another
Creative Planning Institutional Advisors, LLC to Cetera Advisor Networks LLC
left Dec 19, 2025, registered Feb 24, 2023 (-1029 days) · Other
Cetera Advisor Networks LLC to Cetera Investment Advisers LLC
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
Cetera Investment Advisers LLC to Creative Planning Institutional Advisors, LLC
left Feb 24, 2023, registered Jan 11, 2022 (-409 days) · Other
First Allied Advisory Services, Inc. to Cetera Investment Advisers LLC
left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
Citizens Securities, Inc. to First Allied Advisory Services, Inc.
left Jul 3, 2020, registered Jul 10, 2020 (7 days) · Affiliated broker-dealer or bank to another

Signals

Nicholas David Faller left Cetera Investment Advisers Llc for Osaic Advisory Services, Llc (registered 2025-12-17)
Jan 29, 2026 · Advisor changed firm · fact
Nicholas David Faller left Creative Planning Institutional Advisors, Llc for Cetera Advisor Networks Llc (registered 2023-02-24)
Dec 19, 2025 · Advisor changed firm · fact
Nicholas David Faller left Cetera Investment Advisers Llc for Creative Planning Institutional Advisors, Llc (registered 2022-01-11)
Feb 24, 2023 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address