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.
Advisor moves
Arrivals at Ni Advisors
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Ted Chen | Equitable Advisors, LLC national BD | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Mar 9, 2026 | Apr 14, 2026 (36 d) |
| Nancy Yen Chang | Independent Financial Group, LLC BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 10, 2026 | Feb 9, 2026 |
| Bala Subramanian | First Heartland Consultants, Inc. BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 5, 2024 | Jan 30, 2025 (56 d) |
| Jarrod Benjamin Silvers | Western International Securities BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 7, 2023 | Aug 17, 2023 |
| John C Shen | LPL Financial LLC BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 19, 2021 | Nov 30, 2021 |
| Raymond Zong | Npa Asset Management, LLC BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 27, 2020 | Jul 26, 2022 (729 d) |
| Hongfang Zhang | J.P. Morgan Securities LLC wirehouse | Ni Advisors state registered | Wirehouse to a state-registered adviser | Feb 20, 2020 | Jan 3, 2025 (1779 d) |
| Chun Bai | Cetera Investment Advisers LLC BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 22, 2020 | Nov 24, 2021 (672 d) |
| Xianzhong Zhu | Centaurus Financial, Inc. BD affiliated | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 18, 2018 | Dec 11, 2018 |
| Dean Constantine Bruno Anast | Firestone Capital Advisors Inc. unclassified | Ni Advisors state registered | Other | Jan 11, 2018 | Jan 2, 2025 (2548 d) |
| Theodore Hendrickus Franse | Sandlapper Wealth Management, LLC other | Ni Advisors state registered | Other | Jul 6, 2017 | Aug 24, 2017 (49 d) |
| Terry Xing-Zhao Wu | USA Financial Securities LLC other | Ni Advisors state registered | Other | Nov 1, 2016 | Nov 9, 2018 (738 d) |
| Peter T Po | Voya Financial Advisors, Inc. other | Ni Advisors state registered | Other | Aug 12, 2015 | Aug 21, 2015 |
| Shirley Ank Wong | Equitable Advisors, LLC national BD | Ni Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 29, 2005 | Nov 6, 2014 (3325 d) |
| Suihock Goy | Pmb Securities Corp. unclassified | Ni Advisors state registered | Other | Jan 2, 2004 | May 24, 2012 (3065 d) |
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15 moves match.