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 Gomes
Certified Financial Planner
Feed of 09/14/2026
Also filed as Nicholas Gomes
At current firm
0 y
since Jan 23, 2026
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Strategic Advisers LLC national BD currentsince Jan 23, 2026 · Brea, Ca
- Commonwealth Financial Network national BDJan 22, 2024 to Dec 8, 2025 · Fullerton, Ca
- Ritholtz Wealth Management independent RIAFeb 17, 2022 to Jan 2, 2024 · New York, Ny
- Morgan Stanley wirehouseJun 15, 2021 to Feb 10, 2022 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Commonwealth Financial Network to Strategic Advisers LLCleft Dec 8, 2025, registered Jan 23, 2026 (46 days) · Affiliated broker-dealer or bank to another
- Ritholtz Wealth Management to Commonwealth Financial Networkleft Jan 2, 2024, registered Jan 22, 2024 (20 days) · RIA to affiliated broker-dealer or bank
- Morgan Stanley to Ritholtz Wealth Managementleft Feb 10, 2022, registered Feb 17, 2022 (7 days) · Wirehouse to independent RIA
Signals
- Nicholas Gomes left Commonwealth Financial Network for Strategic Advisers Llc (registered 2026-01-23)Dec 8, 2025 · Advisor changed firm · fact
- Nicholas Gomes left Ritholtz Wealth Management for Commonwealth Financial Network (registered 2024-01-22)Jan 2, 2024 · Advisor changed firm · fact
- Nicholas Gomes left Morgan Stanley for Ritholtz Wealth Management (registered 2022-02-17)Feb 10, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address