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 James Marino

Vanguard Advisers, Inc.BD affiliatedScottsdale, Azdual registrantIAPD 6606133

Feed of 09/14/2026

Also filed as Nick J Marino

At current firm

1 y

since Feb 7, 2025

In the industry

10 y

since Aug 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Vanguard Advisers, Inc. BD affiliated current
since Feb 7, 2025 · Scottsdale, Az
Breakaway Wealth unclassified
Feb 26, 2024 to Nov 22, 2024 · Columbus, Oh
Dew Wealth Management independent RIA
Jul 28, 2022 to Jan 31, 2024 · Columbus, Oh
Gerber, LLC independent RIA
Feb 19, 2021 to Jul 11, 2022 · Columbus, Oh
Pnc Wealth Management BD affiliated
Mar 27, 2020 to Jan 21, 2021 · London, Oh
Morgan Stanley wirehouse
Oct 7, 2019 to Mar 4, 2020 · Columbus, Oh
J.P. Morgan Securities LLC wirehouse
Jan 4, 2017 to Sep 25, 2019 · Westerville, Oh

Moves

a registration end followed by a registration begin elsewhere

Breakaway Wealth to Vanguard Advisers, Inc.
left Nov 22, 2024, registered Feb 7, 2025 (77 days) · Other
Dew Wealth Management to Breakaway Wealth
left Jan 31, 2024, registered Feb 26, 2024 (26 days) · Other
Gerber, LLC to Dew Wealth Management
left Jul 11, 2022, registered Jul 28, 2022 (17 days) · RIA to RIA
Pnc Wealth Management to Gerber, LLC
left Jan 21, 2021, registered Feb 19, 2021 (29 days) · Affiliated broker-dealer or bank to independent RIA
Morgan Stanley to Pnc Wealth Management
left Mar 4, 2020, registered Mar 27, 2020 (23 days) · Wirehouse to affiliated broker-dealer or bank
J.P. Morgan Securities LLC to Morgan Stanley
left Sep 25, 2019, registered Oct 7, 2019 (12 days) · Wirehouse to wirehouse

Signals

Nicholas James Marino left Breakaway Wealth for Vanguard Advisers, Inc. (registered 2025-02-07)
Nov 22, 2024 · Advisor changed firm · fact
Nicholas James Marino left Dew Wealth Management for Breakaway Wealth (registered 2024-02-26)
Jan 31, 2024 · Advisor changed firm · fact
Nicholas James Marino left Gerber, Llc for Dew Wealth Management (registered 2022-07-28)
Jul 11, 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: 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