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RIA / WealthAdvisorCertified Financial Planner29 years in industry

KRAIG RICHARD MICKELSEN

Advisor at KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLC

ST. CHARLES, IL

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Search this name across graphsid dfx:ria:b2049f53-7fbb-293b-5372-c4625377f9a3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Feb 26, 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: KRM FINANCIAL PLANNING & WEALTH 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: Feb 6, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Feb 6, 1997
First registration: Feb 26, 2002
Dual registered: no
IAPD individual key: 2845238

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
KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLC	Independent wealth	Jan 2, 2026	n/a	yes	ST. CHARLES, IL	Current employment
ARETE WEALTH ADVISORS, LLC	Bd affiliated wealth	Jun 29, 2023	Mar 23, 2026	no	St. Charles, IL\|CHICAGO, IL	Previous registration
WHEATON WEALTH PARTNERS, LLC	Former SEC adviser	May 26, 2010	Jan 23, 2012	no	WHEATON, IL	Previous registration
AUSDAL FINANCIAL PARTNERS, INC.	Independent wealth	Aug 4, 2006	Jul 3, 2023	no	DAVENPORT, IA\|ST. CHARLES, IL	Previous registration
QA3 FINANCIAL LLC	n/a	Feb 26, 2002	Aug 3, 2006	no	ST CHARLES, IL\|OMAHA, NE	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
ARETE WEALTH ADVISORS, LLC	KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLC	Mar 23, 2026	Jan 2, 2026	-80	Firm change after gap	Ibd to new firm
AUSDAL FINANCIAL PARTNERS, INC.	WHEATON WEALTH PARTNERS, LLC	Jul 3, 2023	May 26, 2010	-4,786	Firm change after gap	Other
WHEATON WEALTH PARTNERS, LLC	ARETE WEALTH ADVISORS, LLC	Jan 23, 2012	Jun 29, 2023	4,175	Firm change after gap	Other
QA3 FINANCIAL LLC	AUSDAL FINANCIAL PARTNERS, INC.	Aug 3, 2006	Aug 4, 2006	1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
145488:338738:IL:2026-03-23	Mar 23, 2026	Jan 2, 2026	CHICAGO, IL	Firm change after gap

Relationships

Registered with (5)

→ KRM FINANCIAL PLANNING & WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 2, 2026 to presentfactForm ADV
→ ARETE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Jun 29, 2023 to Mar 23, 2026factForm ADV
→ AUSDAL FINANCIAL PARTNERS, INC.Registered adviserregistration: previous registration
Aug 4, 2006 to Jul 3, 2023factForm ADV
→ WHEATON WEALTH PARTNERS, LLCRegistered adviserregistration: previous registration
May 26, 2010 to Jan 23, 2012factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 26, 2002 to Aug 3, 2006factForm ADV

Dated events

Occurred
Mar 23, 2026
Advisor changed firm
Kraig Richard Mickelsen left Arete Wealth Advisors, Llc for Krm Financial Planning & Wealth Management, Llc (registered 2026-01-02)
Form ADVobserved 5 days ago
Occurred
Jul 3, 2023
Advisor changed firm
Kraig Richard Mickelsen left Ausdal Financial Partners, Inc. for Wheaton Wealth Partners, Llc (registered 2010-05-26)
Form ADVobserved 5 days ago