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
Alison Ann Walker
Feed of 09/14/2026
Also filed as Alison Ann Vanduyse
At current firm
5 y
since Feb 1, 2021
In the industry
24 y
since Jan 4, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- RBC Capital Markets, LLC national BD currentsince Feb 1, 2021 · Sturgeon Bay, Wi
- Nicolet Wealth Management independent RIAAug 8, 2016 to Mar 9, 2021 · Sister Bay, Wi
- Sii Investments, Inc. formerJun 1, 2016 to Dec 31, 2017 · Sister Bay, Wi
- LPL Financial LLC BD affiliatedSep 25, 2014 to Jun 15, 2016 · Sister Bay, Wi
- Associated Investment Services, Inc. independent RIASep 28, 2004 to Oct 6, 2014 · Sturgeon Bay, Wi
- RBC Capital Markets, LLC national BDJan 2, 2004 to Sep 9, 2004 · Sturgeon Bay, Wi
Moves
a registration end followed by a registration begin elsewhere
- Nicolet Wealth Management to RBC Capital Markets, LLCleft Mar 9, 2021, registered Feb 1, 2021 (-36 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Sii Investments, Inc. to Nicolet Wealth Managementleft Dec 31, 2017, registered Aug 8, 2016 (-510 days) · Other · moved with a team
- LPL Financial LLC to Sii Investments, Inc.left Jun 15, 2016, registered Jun 1, 2016 (-14 days) · Other · moved with a team
- Associated Investment Services, Inc. to LPL Financial LLCleft Oct 6, 2014, registered Sep 25, 2014 (-11 days) · Other
- RBC Capital Markets, LLC to Associated Investment Services, Inc.left Sep 9, 2004, registered Sep 28, 2004 (19 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address