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.

Current firm

HEARTLAND ADVISORS, INC.

Current firm class

asset managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Feb 1, 1997earliest registration or exam on IAPD

Years in industry

29derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

1

Exams

S63|S65

First exam

Oct 7, 1998

First registration

Nov 11, 1998

Dual registered

yes, broker-dealer

Other names

KAREN HOEY|KAREN ANN HOEY

IAPD individual key

2876954

• Occurred

  Jan 13, 2022
  Advisor changed firm

  Karen Ann Leppla left Robert W. Baird & Co. Incorporated for Heartland Advisors, Inc. (registered 2022-11-01)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a2635bb8-72d7-dc9b-f5a3-35cdcf5052a7

First observed

Nov 11, 1998

Last observed

Sep 14, 2026 7 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.