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Registered advisor
G••• S•••• L••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedFont Du Lac, Wi dual registrantIAPD 2413278
Feed of 09/14/2026
At current firm
0 y
since Feb 2, 2026
In the industry
36 y
since Jan 1, 1990 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 2, 2026 · Markesan, Wi
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Feb 5, 2026 · Fond Du Lac, Wi
- S••••••••• A•••••• A•••••••• I••• formerAug 16, 2018 to Jun 14, 2024 · Fond Du Lac, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 16, 2011 to Aug 16, 2018 · Fond Du Lac, Wi
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 5, 2026, registered Feb 2, 2026 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to S••••••••• A•••••• A•••••••• I•••left Aug 16, 2018, registered Aug 16, 2018 (0 days) · Other · moved with a team
Signals
- G••• S•••• L•••• left O•••• W•••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-02-02)Feb 5, 2026 · Advisor changed firm · fact
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