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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

MICHAEL LLOYD HAWES

Advisor at RETIREMENT PLAN ADVISORS, LLC

BROWN DEER, WI | CHICAGO, IL | JANESVILLE, WI

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Search this name across graphsid dfx:ria:0f829fdc-c9ab-8e7e-fecc-12f51aaa27eb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 5, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RETIREMENT PLAN ADVISORS, LLC
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 8, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 8, 2000
First registration: Jul 5, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 3090091

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RETIREMENT PLAN ADVISORS, LLC	Mixed wealth	Jul 14, 2025	n/a	yes	BROWN DEER, WI\|JANESVILLE, WI\|CHICAGO, IL	Current employment
NATIONWIDE INVESTMENT ADVISORS, LLC	Bd affiliated wealth	Sep 13, 2011	Jul 18, 2025	no	COLUMBUS, OH	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 13, 2009	Aug 10, 2011	no	THIENSVILLE, WI\|GERMANTOWN, WI\|HARTFORD, WI\|MENOMONEE FALLS, WI\|WAUWATOSA, WI\|WEST BEND, WI\|PEWAUKEE, WI\|KEWASKUM, WI	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Sep 25, 2008	Nov 13, 2009	no	KEWASKUM, WI\|MENOMONEE FALLS, WI	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Jul 5, 2002	Nov 22, 2006	no	Milwaukee, WI\|MILWAUKEE, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NATIONWIDE INVESTMENT ADVISORS, LLC	RETIREMENT PLAN ADVISORS, LLC	Jul 18, 2025	Jul 14, 2025	-4	Firm change	Ibd to RIA
PNC WEALTH MANAGEMENT	NATIONWIDE INVESTMENT ADVISORS, LLC	Aug 10, 2011	Sep 13, 2011	34	Firm change	Other
NATCITY INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Nov 13, 2009	Nov 13, 2009	0	Bulk transfer	Other
RBC CAPITAL MARKETS, LLC	NATCITY INVESTMENTS, INC.	Nov 22, 2006	Sep 25, 2008	673	Firm change after gap	Other

Relationships

Registered with (5)

→ RETIREMENT PLAN ADVISORS, LLCRegistered adviserregistration: current employment
Jul 14, 2025 to presentfactForm ADV
→ NATIONWIDE INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 13, 2011 to Jul 18, 2025factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 13, 2009 to Aug 10, 2011factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 25, 2008 to Nov 13, 2009factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jul 5, 2002 to Nov 22, 2006factForm ADV

Dated events

Occurred
Jul 18, 2025
Advisor changed firm
Michael Lloyd Hawes left Nationwide Investment Advisors, Llc for Retirement Plan Advisors, Llc (registered 2025-07-14)
Form ADVobserved 4 days ago