Nicholas Andrew Goldthorpe
Professional Summary
Nicholas Andrew Goldthorpe is a registered financial advisor currently at ASSEMBLY WEALTH located in Mill Valley, California. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Nicholas has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
Current Firm
ASSEMBLY WEALTH | WRAPMANAGER INC
Contact Information
Main Address
319 Miller Avenue, Mill Valley, CA 94941Phone Number
(415) 541-7774# of Employees
9SEC notice filing (11 States and Territories)
Registered to provide investment advisory services in 11 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
455AUM (Assets Under Management)
$336,736,592Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
Primary Firm SEC Registration
ASSEMBLY WEALTH | WRAPMANAGER INC
State Registrations and Notice Filings
(2/4/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Andrew Goldthorpe's CRS (Customer Relationship Summary).
Similar Advisors
THE DALA GROUP, LLC
AE WEALTH MANAGEMENT, LLC
OSAIC WEALTH, INC.
MATT MONTGOMERY