DFX Intelligence

Data Factory

RIA / WealthAdvisor29 years in industry

JOSEPH THOMAS WIEGAND

Advisor at APPLE TREE ASSET MANAGEMENT, LLC

FORT WAYNE, IN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7d87a1ce-4158-b8f1-8954-5abfeee8023c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 6, 2003 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: APPLE TREE ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 28, 2001
First registration: May 6, 2003
Dual registered: no
IAPD individual key: 4435170

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
APPLE TREE ASSET MANAGEMENT, LLC	Independent wealth	Mar 17, 2021	n/a	yes	FORT WAYNE, IN	Current employment
CONCORDE ASSET MANAGEMENT, LLC	Bd affiliated wealth	Aug 1, 2014	Mar 16, 2021	no	ANGOLA, IN\|ANN ARBOR, MI	Previous registration
DAVID R. KERN ASSET MANAGEMENT	Former SEC adviser	Feb 10, 2014	Feb 11, 2014	no	HUNTERTOWN, IN	Previous registration
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	Apr 18, 2011	Aug 4, 2014	no	HOLBROOK, NY	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Mar 26, 2009	Dec 31, 2010	no	FORT WAYNE, IN\|EL SEGUNDO, CA\|ANGOLA, IN	Previous registration
SHELTON FINANCIAL GROUP, INC.	Former SEC adviser	Jun 28, 2004	Apr 7, 2009	no	FORT WAYNE, IN	Previous registration
BLUE VASE SECURITIES, LLC	n/a	May 6, 2003	Oct 17, 2005	no	FORT WAYNE, IN	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
CONCORDE ASSET MANAGEMENT, LLC	APPLE TREE ASSET MANAGEMENT, LLC	Mar 16, 2021	Mar 17, 2021	1	Firm change	Ibd to RIA
AMERICAN PORTFOLIOS ADVISORS, INC	DAVID R. KERN ASSET MANAGEMENT	Aug 4, 2014	Feb 10, 2014	-175	Firm change after gap	Other
DAVID R. KERN ASSET MANAGEMENT	CONCORDE ASSET MANAGEMENT, LLC	Feb 11, 2014	Aug 1, 2014	171	Firm change	Other
CETERA ADVISOR NETWORKS LLC	AMERICAN PORTFOLIOS ADVISORS, INC	Dec 31, 2010	Apr 18, 2011	108	Firm change	Other
SHELTON FINANCIAL GROUP, INC.	CETERA ADVISOR NETWORKS LLC	Apr 7, 2009	Mar 26, 2009	-12	Firm change	Other
BLUE VASE SECURITIES, LLC	SHELTON FINANCIAL GROUP, INC.	Oct 17, 2005	Jun 28, 2004	-476	Firm change after gap	Other

Relationships

Registered with (7)

→ APPLE TREE ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Mar 17, 2021 to presentfactForm ADV
→ CONCORDE ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 1, 2014 to Mar 16, 2021factForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserregistration: previous registration
Apr 18, 2011 to Aug 4, 2014factForm ADV
→ DAVID R. KERN ASSET MANAGEMENTRegistered adviserregistration: previous registration
Feb 10, 2014 to Feb 11, 2014factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Mar 26, 2009 to Dec 31, 2010factForm ADV
→ SHELTON FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Jun 28, 2004 to Apr 7, 2009factForm ADV
→ BLUE VASE SECURITIES, LLCRegistered adviserregistration: previous registration
May 6, 2003 to Oct 17, 2005factForm ADV

Dated events

No dated event names this entity yet.