Nicholas D'Auria has been Chief Compliance Officer of Tandem Investment Partners since January 2026, is a control person of the firm and directly owns under 5% of it. Nicholas D'Auria holds a BS in Business Administration from Southern New Hampshire University.
Tandem Investment Partners, LLC is a Bordentown, NJ firm with $200M under management, 192 clients and 4 advisers across 3 offices, as of its February 2026 filing.
Nicholas D'Auria is Research Analyst and Chief Compliance Officer of Tandem Investment Partners. He spent nine years as a Senior Pharmacy Technician before moving into financial services. He works with individuals, families and business owners on their financial goals.
- – present · under a yearBordentown, NJ · Adviser representative · Firm CRD 172309
Investment adviser representative registrations
Nicholas D'Auria is registered as an investment adviser representative in New Jersey, since October 2026.
- New JerseySince 7 October 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 2 October 2026 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Nicholas William D'Auria
- CRD
- 8196474
- Firm
- Tandem Investment Partners · CRD 172309
- Role
- Chief Compliance Officer
- Office
- 3 THIRD STREET, SUITE 215, Bordentown, NJ 08505
- Registration
- Investment adviser registration
- In the industry since
- October 2026
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- tandeminvestment.com
Where does Nicholas D'Auria work?
Nicholas D'Auria has been Chief Compliance Officer of Tandem Investment Partners, LLC since January 2026, and is a control person of the firm.
Is Nicholas D'Auria a financial advisor?
Yes. Nicholas D'Auria has a current investment-adviser registration in New Jersey, through Tandem Investment Partners since October 2026.
How many years of experience does Nicholas D'Auria have?
Nicholas D'Auria has 0 years in the financial industry, since October 2026, across 1 adviser firm.
What exams has Nicholas D'Auria passed?
Nicholas D'Auria passed the Series 65 in October 2026.
Where is Nicholas D'Auria based?
Nicholas D'Auria’s registered office is in Bordentown, NJ.
Is Nicholas D'Auria registered with FINRA?
No. Nicholas D'Auria has no current broker registration.
How can I verify Nicholas D'Auria’s record?
Search CRD 8196474 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas D'Auria’s full registration record.
