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NN INVESTMENT ADVISORY, LLC

· CRD 332240 · IAPD ↗ · nninvestmentadvisory.com · 917-673-2324

$4.2MRegulatory AUM
1Advisory reps
1Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
January 2025 — NN INVESTMENT ADVISORY, LLC (location n/a) left the SEC roster — its 120-day provisional registration did not convert (was $4.2M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
95
August 2024 — NN INVESTMENT ADVISORY, LLC (location n/a) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.