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

Wolfgang Johannes Hawlisch

D.A. Davidson & Co.independent RIARoseville, Cadual registrantIAPD 4654927

Feed of 09/14/2026

At current firm

1 y

since Mar 19, 2025

In the industry

23 y

since Sep 8, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

D.A. Davidson & Co. independent RIA current
since Mar 19, 2025 · Roseville, Ca
RBC Capital Markets, LLC national BD
Nov 12, 2024 to Apr 2, 2025 · El Dorado Hills, Ca
Wells Fargo Advisors wirehouse
Jul 14, 2020 to Nov 27, 2024 · Sacramento, Ca
Morgan Stanley wirehouse
Sep 23, 2015 to Jul 16, 2020 · Sacramento, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 10, 2008 to Sep 24, 2015 · Sacramento, Ca
Banc Of America Investment Services, Inc. unclassified
Sep 6, 2006 to Jul 14, 2008 · West Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

RBC Capital Markets, LLC to D.A. Davidson & Co.
left Apr 2, 2025, registered Mar 19, 2025 (-14 days) · Affiliated broker-dealer or bank to independent RIA
Wells Fargo Advisors to RBC Capital Markets, LLC
left Nov 27, 2024, registered Nov 12, 2024 (-15 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Morgan Stanley to Wells Fargo Advisors
left Jul 16, 2020, registered Jul 14, 2020 (-2 days) · Wirehouse to wirehouse · moved with a team
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley
left Sep 24, 2015, registered Sep 23, 2015 (-1 days) · Wirehouse to wirehouse · moved with a team
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jul 14, 2008, registered Jul 10, 2008 (-4 days) · Other

Signals

Wolfgang Johannes Hawlisch left Rbc Capital Markets, Llc for D.A. Davidson & Co. (registered 2025-03-19)
Apr 2, 2025 · Advisor changed firm · fact
Wolfgang Johannes Hawlisch left Wells Fargo Advisors for Rbc Capital Markets, Llc (registered 2024-11-12)
Nov 27, 2024 · 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address