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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• J•••• L•••••••••

G•••••• W••••• P•••••••• L••independent RIAAppleton, Wi dual registrantIAPD 4193561

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Nov 20, 2025

In the industry

26 y

since Jul 12, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••• W••••• P•••••••• L•• independent RIA current
since Nov 20, 2025 · Oshkosh, Wi
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Nov 19, 2025 · Greenville, Wi
S••••••••• A•••••• A•••••••• I••• former
Sep 18, 2020 to Jun 14, 2024 · Greenville, Wi
S•• A•••••••• I••• former
Nov 6, 2017 to Sep 18, 2020 · Greenvillw, Wi
S•• I••••••••• I••• former
Jun 6, 2016 to Nov 6, 2017 · Greenville, Wi
F•• S••••••••• C••••••••• former
Jan 15, 2010 to Jun 9, 2016 · Greenville, Wi
S•• I••••••••• I••• former
Nov 1, 2006 to Jan 6, 2010 · Oshkosh, Wi
L•• F•••••••• L•• BD affiliated
Mar 16, 2005 to Mar 16, 2005 · Appleton, Wi
C••• B•••••••• S•••••••• I••• former
Aug 30, 2004 to Mar 9, 2005 · Kimberly, Wi

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to G•••••• W••••• P•••••••• L••
left Nov 19, 2025, registered Nov 20, 2025 (1 days) · Affiliated broker-dealer or bank to independent RIA · 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
S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
S•• I••••••••• I••• to S•• A•••••••• I•••
left Nov 6, 2017, registered Nov 6, 2017 (0 days) · Other · moved with a team
F•• S••••••••• C••••••••• to S•• I••••••••• I•••
left Jun 9, 2016, registered Jun 6, 2016 (-3 days) · Other · moved with a team
S•• I••••••••• I••• to F•• S••••••••• C•••••••••
left Jan 6, 2010, registered Jan 15, 2010 (9 days) · Other
L•• F•••••••• L•• to S•• I••••••••• I•••
left Mar 16, 2005, registered Nov 1, 2006 (595 days) · Other
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left Mar 9, 2005, registered Mar 16, 2005 (7 days) · Other

Signals

S••••• J•••• L••••••••• left O•••• W•••••• I••• for G•••••• W••••• P•••••••• L•• (registered 2025-11-20)
Nov 19, 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address