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Joseph Heaslip

Vice President and Chief Operating Officer at NLG Capital

No current adviser or broker registrationSEC record checked 18 October 2026

1
Past adviser firms
1
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Joseph Heaslip is Vice President and Chief Operating Officer of NLG Capital LLC, a Montpelier investment adviser managing $46.5B. Joseph Heaslip has past investment-adviser registrations through 1 firm and has passed the Series 6.

Role at NLG Capital

Title on Schedule A
Vice President and Chief Operating Officer
Control
Joseph Heaslip is a control person of NLG Capital.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Heaslip has held the filed role since February 2026.

The firm

NLG Capital LLC
Montpelier, VT

Form ADV filed 30 March 2026

$46.5B AUM10 clients48 advisers3 offices

Career on record

Firms and exams, newest first
  1. Sentinel Asset Management, Inc.
    – · 1 year
    Montpelier, VT · Adviser representative · Firm CRD 109396
  2. Passed Series 6 · 2010

Registrations and exams

No current adviser or broker registration. Joseph Heaslip has passed 1 qualifying exam.

Examinations

Series 65 January 2010
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Joseph Gerald Heaslip
CRD
5386934
Firm
NLG Capital LLC
Registration status
No current adviser or broker registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Joseph Heaslip work?

Joseph Heaslip has been Vice President and Chief Operating Officer of NLG Capital LLC since February 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Does Joseph Heaslip have a current investment-adviser registration?

Joseph Heaslip has no current investment-adviser or broker registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Joseph Heaslip passed?

Joseph Heaslip passed the Series 6 in January 2010.

Source: IAPD individual record, checked 18 October 2026

Where was Joseph Heaslip previously registered as an investment adviser?

Joseph Heaslip has past investment-adviser registrations through Sentinel Asset Management, Inc., October 2017 to April 2019, across 1 firm.

Source: IAPD individual record, checked 18 October 2026

Leadership at NLG Capital

Sources

  1. IAPD individual record, CRD 5386934. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of NLG Capital LLC, filed 30 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Heaslip or NLG Capital LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.