Nicholas Panfen

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-02-03
FL	RA	APPROVED	2024-12-05

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Naples	FL	04/2024	Present
Student	Fort Myer	FL	01/2014	03/2024
Engle And Volkers	Naples	FL	01/2022	11/2022
Pelican Bay	Naples	FL	12/2020	08/2021
Café Tascano	Naples	FL	02/2024	04/2024
Florida Gulf Coast University	Forth Myers	FL	08/2019	05/2024
Bank Of America, N.A	Naples	FL	06/2025	Present

04/2024 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Naples, FL
01/2014 → 03/2024

Student

Fort Myer, FL
01/2022 → 11/2022

Engle And Volkers

Naples, FL
12/2020 → 08/2021

Pelican Bay

Naples, FL
02/2024 → 04/2024

Café Tascano

Naples, FL
08/2019 → 05/2024

Florida Gulf Coast University

Forth Myers, FL
06/2025 → Present

Bank Of America, N.A

Naples, FL

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-12-03

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