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 Clark Minter

Voya Financial Advisors, Inc.BD affiliatedHoboken , Nj dual registrantIAPD 7557187

Feed of 09/14/2026

At current firm

0 y

since Jul 14, 2026

In the industry

12 y

since Feb 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Voya Financial Advisors, Inc. BD affiliated current
since Jul 14, 2026 · Hoboken , Nj
Empirikal Partners LLC state registered
Apr 29, 2026 to May 12, 2026 · Phoenix, Az
11 Western Asset Management LLC unclassified
Jan 23, 2026 to Jul 17, 2026 · Hoboken, Nj
Tuttle Capital Management, LLC asset manager
Dec 19, 2025 to Jul 21, 2026 · Hoboken, Nj
J.P. Morgan Securities LLC wirehouse
Mar 19, 2024 to Feb 26, 2025 · New York, Ny
Equitable Advisors, LLC national BD
Nov 27, 2023 to Feb 28, 2024 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

Tuttle Capital Management, LLC to 11 Western Asset Management LLC
left Jul 21, 2026, registered Jan 23, 2026 (-179 days) · Other
11 Western Asset Management LLC to Empirikal Partners LLC
left Jul 17, 2026, registered Apr 29, 2026 (-79 days) · Other
Empirikal Partners LLC to Voya Financial Advisors, Inc.
left May 12, 2026, registered Jul 14, 2026 (63 days) · Other
J.P. Morgan Securities LLC to Tuttle Capital Management, LLC
left Feb 26, 2025, registered Dec 19, 2025 (296 days) · Other
Equitable Advisors, LLC to J.P. Morgan Securities LLC
left Feb 28, 2024, registered Mar 19, 2024 (20 days) · Affiliated broker-dealer or bank to wirehouse

Signals

Nicholas Clark Minter left Tuttle Capital Management, Llc for 11 Western Asset Management Llc (registered 2026-01-23)
Jul 21, 2026 · Advisor changed firm · fact
Nicholas Clark Minter left 11 Western Asset Management Llc for Empirikal Partners Llc (registered 2026-04-29)
Jul 17, 2026 · Advisor changed firm · fact
Nicholas Clark Minter left Empirikal Partners Llc for Voya Financial Advisors, Inc. (registered 2026-07-14)
May 12, 2026 · Advisor changed firm · fact
Nicholas Clark Minter left J.P. Morgan Securities Llc for Tuttle Capital Management, Llc (registered 2025-12-19)
Feb 26, 2025 · Advisor changed firm · fact
Nicholas Clark Minter left Equitable Advisors, Llc for J.P. Morgan Securities Llc (registered 2024-03-19)
Feb 28, 2024 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address