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

Michael Lloyd Hawes

Retirement Plan Advisors, LLCmixed wealthBrown Deer, Wi dual registrantIAPD 3090091

Feed of 09/14/2026

At current firm

1 y

since Jul 14, 2025

In the industry

25 y

since Dec 8, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Retirement Plan Advisors, LLC mixed wealth current
since Jul 14, 2025 · Brown Deer, Wi
Nationwide Investment Advisors, LLC BD affiliated
Sep 13, 2011 to Jul 18, 2025 · Columbus, Oh
Pnc Wealth Management BD affiliated
Nov 13, 2009 to Aug 10, 2011 · Thiensville, Wi
Natcity Investments, Inc. unclassified
Sep 25, 2008 to Nov 13, 2009 · Kewaskum, Wi
RBC Capital Markets, LLC national BD
Jul 5, 2002 to Nov 22, 2006 · Milwaukee, Wi

Moves

a registration end followed by a registration begin elsewhere

Nationwide Investment Advisors, LLC to Retirement Plan Advisors, LLC
left Jul 18, 2025, registered Jul 14, 2025 (-4 days) · Affiliated broker-dealer or bank to independent RIA
Pnc Wealth Management to Nationwide Investment Advisors, LLC
left Aug 10, 2011, registered Sep 13, 2011 (34 days) · Other
Natcity Investments, Inc. to Pnc Wealth Management
left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
RBC Capital Markets, LLC to Natcity Investments, Inc.
left Nov 22, 2006, registered Sep 25, 2008 (673 days) · Other

Signals

Michael Lloyd Hawes left Nationwide Investment Advisors, Llc for Retirement Plan Advisors, Llc (registered 2025-07-14)
Jul 18, 2025 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address