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 David Olivas

Prospera Financial Services, Inc.BD affiliatedIrvine, Cadual registrantIAPD 6803146

Feed of 09/14/2026

Also filed as Nicholas Olivas

At current firm

0 y

since Oct 30, 2025

In the industry

13 y

since May 1, 2013 (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

Prospera Financial Services, Inc. BD affiliated current
since Oct 30, 2025 · Irvine, Ca
LPL Financial LLC BD affiliated
Nov 18, 2024 to Nov 14, 2025 · Irvine, Ca
Raymond James & Associates, Inc. national BD
Mar 14, 2022 to Nov 19, 2024 · Newport Beach, Ca
Oppenheimer & Co. Inc. BD affiliated
Aug 7, 2020 to Mar 18, 2022 · Newport Beach, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 22, 2017 to Aug 10, 2020 · Brea, Ca

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Prospera Financial Services, Inc.
left Nov 14, 2025, registered Oct 30, 2025 (-15 days) · Affiliated broker-dealer or bank to another
Raymond James & Associates, Inc. to LPL Financial LLC
left Nov 19, 2024, registered Nov 18, 2024 (-1 days) · Affiliated broker-dealer or bank to another
Oppenheimer & Co. Inc. to Raymond James & Associates, Inc.
left Mar 18, 2022, registered Mar 14, 2022 (-4 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Oppenheimer & Co. Inc.
left Aug 10, 2020, registered Aug 7, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank

Signals

Nicholas David Olivas left Lpl Financial Llc for Prospera Financial Services, Inc. (registered 2025-10-30)
Nov 14, 2025 · Advisor changed firm · fact
Nicholas David Olivas left Raymond James & Associates, Inc. for Lpl Financial Llc (registered 2024-11-18)
Nov 19, 2024 · Advisor changed firm · fact
Nicholas David Olivas left Oppenheimer & Co. Inc. for Raymond James & Associates, Inc. (registered 2022-03-14)
Mar 18, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address