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.
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SEC-registered adviser
W••••• A•••• M•••••••
Legal name N••••• S•••••••••
Latest filing Sep 5, 2026
First filing on the tape Jan 25, 2012 · 21 filings
SEC status approved since May 7, 1992
RAUM
$322M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
99%
$319M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$35.8M
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$322M as of Aug 9, 2026
Aug 16, 2012$42.9M then
HNW client RAUM: $7.5M
State-registered IARs (5.B.3)9 as of Aug 9, 2026
Aug 16, 20120 then
Employees (5.A)15 as of Aug 9, 2026
Aug 6, 201319 then
Private funds: no history
RAUM +51% over the last fiscal year+14% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Sep 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $35.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $160,451derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publicationsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$319M99%
- Corporations and businesses$1.7M0.5%
- Pension and profit-sharing plans$829,2210.3%
- Charitable organizations$358,0370.1%
- Individual clients
- 1,996reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,006reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=11.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••• V••• | Spokane, Wa | Mar 6, 1997 | 34 y | 0 |
| A••••••• C•••••• E••••••• | Spokane, Wa | Mar 6, 1997 | 40 y | 0 |
| J•••••• S•••• M••••• | Spokane, Wa | May 28, 2002 | 36 y | 0 |
| S•••• P•••••• N••••• | San Diego, Ca | Sep 5, 2002 | 25 y | 0 |
| R••••• O••• N••••• | Spokane, Wa | May 29, 2003 | 34 y | 0 |
| E•••••• M•••••••• G••••• | San Diego, Ca | Jun 10, 2003 | 29 y | 0 |
| S••••• T••••• K••••• | Fort White, Fl | Jun 10, 2003 | 33 y | 0 |
| R•••••• R•••••• P•••• | Spokane, Wa | Jan 4, 2021 | 38 y | 0 |
| C••••• B••••• E••• | San Diego, Ca | Sep 11, 2021 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D••••••• R••••• C••••• to H••••• F•••••••• G••••Jun 27, 2013 · Other
- C••••••••• J••• B•••• to I•••••••• I••••••••• I•••Mar 5, 2007 · Other
- L•••• P•••• S••••• to P••••••••• A••••••• S••••••• L••Feb 26, 2004 · Other
- M•••••• A•••• S••••••• to P••••••••• A••••••• S••••••• L••Feb 26, 2004 · Other
- J•• D•• L••• to P••••••• H••••••• W••••• A•••••••• I•••Sep 25, 2002 · Other
- B•••• W••• B••••••• to P••••••• H••••••• W••••• A•••••••• I•••Sep 25, 2002 · Other
- S••••• L•• H••••• to T••• I••••••••• A•••••••• L••Jun 28, 2002 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• P•••••• K•••• · Treasurer, Cfocontrolsince 06/1995 · owns less than 5%
- G•••••• S•••• S•••••• · Chief Compliance Officercontrolsince 05/2017 · owns less than 5%
- N•••••• R••••• O••• J• · President, Ceocontrolsince 05/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Spokane, Wa · principal | 6 | 0 | 0 | ||
| San Diego, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA3 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 9, 2026 to Sep 5, 2026
- Related adviser · false to unsetAug 9, 2026 to Sep 5, 2026
- Related bank · false to unsetAug 9, 2026 to Sep 5, 2026
- Related broker-dealer · false to unsetAug 9, 2026 to Sep 5, 2026
- Related insurance company · false to unsetAug 9, 2026 to Sep 5, 2026
- Succession · false to unsetAug 9, 2026 to Sep 5, 2026
- Accounts · 2,026 to 2,006Jul 21, 2025 to Aug 9, 2026
- Individual clients · 2,016 to 1,996Jul 21, 2025 to Aug 9, 2026
- Discretionary RAUM · $248M to $295MJul 21, 2025 to Aug 9, 2026
- Individual RAUM · $267M to $319MJul 21, 2025 to Aug 9, 2026
- Non-discretionary RAUM · $24.3M to $27.0MJul 21, 2025 to Aug 9, 2026
- Pension RAUM · $1.6M to $829,221Jul 21, 2025 to Aug 9, 2026
- RAUM · $272M to $322MJul 21, 2025 to Aug 9, 2026
- Accounts · 2,061 to 2,026Aug 9, 2024 to Jul 21, 2025
- Corporate clients · 6 to 7Aug 9, 2024 to Jul 21, 2025
- Individual clients · 2,052 to 2,016Aug 9, 2024 to Jul 21, 2025
- Financial planning clients · 0 to 0Aug 9, 2024 to Jul 21, 2025
- Discretionary RAUM · $228M to $248MAug 9, 2024 to Jul 21, 2025
- Individual RAUM · $240M to $267MAug 9, 2024 to Jul 21, 2025
- Non-discretionary RAUM · $14.6M to $24.3MAug 9, 2024 to Jul 21, 2025
- Pension RAUM · $1.5M to $1.6MAug 9, 2024 to Jul 21, 2025
- RAUM · $242M to $272MAug 9, 2024 to Jul 21, 2025
- Accounts · 2,052 to 2,061Sep 2, 2023 to Aug 9, 2024
- BD registered reps · 10 to 11Sep 2, 2023 to Aug 9, 2024
- Individual clients · 2,043 to 2,052Sep 2, 2023 to Aug 9, 2024
- Discretionary RAUM · $201M to $228MSep 2, 2023 to Aug 9, 2024
- Individual RAUM · $211M to $240MSep 2, 2023 to Aug 9, 2024
- Non-discretionary RAUM · $12.4M to $14.6MSep 2, 2023 to Aug 9, 2024
- Pension RAUM · $1.3M to $1.5MSep 2, 2023 to Aug 9, 2024
- RAUM · $213M to $242MSep 2, 2023 to Aug 9, 2024
- Accounts · 2,017 to 2,052Jul 21, 2022 to Sep 2, 2023
- Corporate clients · 5 to 6Jul 21, 2022 to Sep 2, 2023
- Individual clients · 2,017 to 2,043Jul 21, 2022 to Sep 2, 2023
- Discretionary RAUM · $175M to $201MJul 21, 2022 to Sep 2, 2023
- Individual RAUM · $184M to $211MJul 21, 2022 to Sep 2, 2023
- Non-discretionary RAUM · $10.6M to $12.4MJul 21, 2022 to Sep 2, 2023
- Pension RAUM · $1.1M to $1.3MJul 21, 2022 to Sep 2, 2023
- RAUM · $186M to $213MJul 21, 2022 to Sep 2, 2023
- Accounts · 1,989 to 2,017Feb 11, 2022 to Jul 21, 2022
- Advisory employees · 8 to 9Feb 11, 2022 to Jul 21, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- nelsonsecurities@nelsonsecurities.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-458-5578reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 509-838-1313reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-345-7593reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••://WWW.N•••••SECURITIES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 509-838-1313reportedpublic record, Form ADV, Sep 5, 2026
- Contact form
- nelsonsecurities.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026