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

S••• C• N••••

M••••• W•••••independent RIASt. Louis, Mo IA-onlyIAPD 6635634

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••• N••••

At current firm

0 y

since Mar 30, 2026

In the industry

10 y

since May 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Senior Wealth Advisorreportedmosaicwealth.comfirm site, Sep 15, 2026
Professional profile: mosaicwealth.com/who-we-are/sean-nicolreportedmosaicwealth.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

M••••• W••••• independent RIA current
since Mar 30, 2026 · Scottsdale, Az
O•••• I••••••••• I••• BD affiliated
Nov 19, 2021 to Jan 12, 2026 · Scottsdale, Az
O•••• W•••••• I••• BD affiliated
Nov 6, 2020 to Oct 8, 2021 · Scottsdale, Az
H•••••• T••••••• • K•••• L•• independent RIA
Oct 17, 2019 to Nov 2, 2020 · Scottsdale, Az
S••••••• F•••••••• G•••• independent RIA
Oct 3, 2018 to Sep 3, 2019 · Phoenix, Az
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jul 6, 2016 to Jul 20, 2018 · Thousand Oaks, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• I••••••••• I••• to M••••• W•••••
left Jan 12, 2026, registered Mar 30, 2026 (77 days) · Affiliated broker-dealer or bank to independent RIA
O•••• W•••••• I••• to O•••• I••••••••• I•••
left Oct 8, 2021, registered Nov 19, 2021 (42 days) · Affiliated broker-dealer or bank to another
H•••••• T••••••• • K•••• L•• to O•••• W•••••• I•••
left Nov 2, 2020, registered Nov 6, 2020 (4 days) · corporate re-registration, not a move
S••••••• F•••••••• G•••• to H•••••• T••••••• • K•••• L••
left Sep 3, 2019, registered Oct 17, 2019 (44 days) · RIA to affiliated broker-dealer or bank
T••••••• I••••••••• M••••••••• I••• to S••••••• F•••••••• G••••
left Jul 20, 2018, registered Oct 3, 2018 (75 days) · Affiliated broker-dealer or bank to independent RIA

Signals

S••• C• N•••• left O•••• I••••••••• I••• for M••••• W••••• (registered 2026-03-30)
Jan 12, 2026 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address