DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Paul A Hees
Feed of 09/15/2026
Also filed as Paul Hees
At current firm
5 y
since Jul 9, 2021
In the industry
37 y
since Mar 10, 1989 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ameriprise Financial Services, LLC national BD currentsince Jul 9, 2021 · Rotonda West, Fl
- Stifel, Nicolaus & Company, Incorporated national BDMar 16, 2018 to Jul 16, 2021 · Madison, Wi
- B. C. Ziegler And Company formerJul 18, 2011 to Mar 16, 2018 · Middleton, Wi
- LPL Financial LLC BD affiliatedNov 30, 2010 to Jul 25, 2011 · Fort Mill, Sc
- Nrp Advisors, Inc. unclassifiedAug 1, 2008 to Nov 30, 2010 · Madison, Wi
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseApr 23, 2001 to Jul 8, 2004 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- Stifel, Nicolaus & Company, Incorporated to Ameriprise Financial Services, LLCleft Jul 16, 2021, registered Jul 9, 2021 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- B. C. Ziegler And Company to Stifel, Nicolaus & Company, Incorporatedleft Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, not a move
- LPL Financial LLC to B. C. Ziegler And Companyleft Jul 25, 2011, registered Jul 18, 2011 (-7 days) · Other
- Nrp Advisors, Inc. to LPL Financial LLCleft Nov 30, 2010, registered Nov 30, 2010 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Nrp Advisors, Inc.left Jul 8, 2004, registered Aug 1, 2008 (1485 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address