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

R••••• N••••••• E••••• C••••

S•••••• N••••••• • C••••••• I•••••••••national BDSanta Fe, Nm dual registrantIAPD 6529379

Feed of 09/14/2026

Also filed as Nick C••••

At current firm

3 y

since Sep 15, 2023

In the industry

11 y

since Sep 2, 2015 (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

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Sep 15, 2023 · Phoenix, Az
B•••••••• I••••••••• M••••••••• L•• asset manager
Jul 12, 2022 to Sep 7, 2023 · Princeton, Nj
I•••••• A•••••••• I••• asset manager
Mar 5, 2020 to Jun 8, 2022 · Atlanta, Ga
T•••••••• I••••••••• M••••••••• I•• asset manager
Jun 6, 2018 to Feb 19, 2020 · Santa Fe, Nm
E•••••••• A•••••••• L•• national BD
Sep 18, 2015 to Oct 16, 2015 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

B•••••••• I••••••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Sep 7, 2023, registered Sep 15, 2023 (8 days) · Other
I•••••• A•••••••• I••• to B•••••••• I••••••••• M••••••••• L••
left Jun 8, 2022, registered Jul 12, 2022 (34 days) · Other
T•••••••• I••••••••• M••••••••• I•• to I•••••• A•••••••• I•••
left Feb 19, 2020, registered Mar 5, 2020 (15 days) · Other
E•••••••• A•••••••• L•• to T•••••••• I••••••••• M••••••••• I••
left Oct 16, 2015, registered Jun 6, 2018 (964 days) · Other

Signals

R••••• N••••••• E••••• C•••• left B•••••••• I••••••••• M••••••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2023-09-15)
Sep 7, 2023 · Advisor changed firm · fact
R••••• N••••••• E••••• C•••• left I•••••• A•••••••• I••• for B•••••••• I••••••••• M••••••••• L•• (registered 2022-07-12)
Jun 8, 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: National broker-dealer RIAderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address