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.
Feed of 09/14/2026
Also filed as Nick Swanson
At current firm
0 y
since Jul 1, 2026
In the industry
26 y
since May 1, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Mcm Wealth independent RIA currentsince Jul 1, 2026 · Arvada, Co
- Savvy independent RIAAug 27, 2025 to Jun 30, 2026 · Arvada, Co
- Empower Advisory Group, LLC BD affiliatedApr 3, 2023 to Aug 22, 2025 · Greenwood Village, Co
- Personal Capital Advisors Corporation formerMay 5, 2022 to Apr 3, 2023 · Wheat Ridge, Co
- Fisher Investments independent RIAFeb 7, 2020 to Aug 17, 2021 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- Savvy to Mcm Wealthleft Jun 30, 2026, registered Jul 1, 2026 (1 days) · RIA to RIA
- Empower Advisory Group, LLC to Savvyleft Aug 22, 2025, registered Aug 27, 2025 (5 days) · Affiliated broker-dealer or bank to independent RIA
- Personal Capital Advisors Corporation to Empower Advisory Group, LLCleft Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
- Fisher Investments to Personal Capital Advisors Corporationleft Aug 17, 2021, registered May 5, 2022 (261 days) · RIA to RIA · moved with a team
Signals
- Nicholas Peter Swanson left Savvy for Mcm Wealth (registered 2026-07-01)Jun 30, 2026 · Advisor changed firm · fact
- Nicholas Peter Swanson left Empower Advisory Group, Llc for Savvy (registered 2025-08-27)Aug 22, 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address