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.

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Registered advisor

G••••• W•••• N••••••

O•••• A••••••• S•••••••• L••BD affiliatedAppleton, Wi dual registrantIAPD 2017730

Feed of 09/14/2026

Also filed as Bud N••••••

At current firm

5 y

since Sep 28, 2020

In the industry

36 y

since Jan 3, 1990 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• A••••••• S•••••••• L•• BD affiliated current
since Sep 28, 2020 · Appleton, Wi
T•••• A•••••••• L•• former
Jul 2, 2020 to Mar 11, 2021 · Appleton, Wi
E•••• O•• I••••••••• L•• unclassified
Sep 17, 2009 to Dec 19, 2012 · Neenah, Wi
O•••••• C••••••• I•• independent RIA
Dec 18, 2008 to Dec 31, 2020 · Brookfield, Wi
N•••••• • A••••••••• I••• unclassified
May 1, 2001 to Jan 20, 2009 · Brookfield, Wi

Moves

a registration end followed by a registration begin elsewhere

T•••• A•••••••• L•• to O•••• A••••••• S•••••••• L••
left Mar 11, 2021, registered Sep 28, 2020 (-164 days) · Affiliated broker-dealer or bank to another
O•••••• C••••••• I•• to E•••• O•• I••••••••• L••
left Dec 31, 2020, registered Sep 17, 2009 (-4123 days) · Other · moved with a team
E•••• O•• I••••••••• L•• to T•••• A•••••••• L••
left Dec 19, 2012, registered Jul 2, 2020 (2752 days) · Other
N•••••• • A••••••••• I••• to O•••••• C••••••• I••
left Jan 20, 2009, registered Dec 18, 2008 (-33 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: Broker-dealer affiliated wealth managerderived
Years in industry: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address