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

Sissi Diem Ai Sondgroth

Robert W. Baird & Co. Incorporatedmixed wealthMill Creek, Wa dual registrantIAPD 4814054

Feed of 09/15/2026

Also filed as Sissi Diem Ai Nguyen

At current firm

11 y

since Nov 7, 2014

In the industry

20 y

since Jun 19, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Robert W. Baird & Co. Incorporated mixed wealth current
since Nov 7, 2014 · Seattle, Wa
Mcadams Wright Ragen, Inc. former
Apr 9, 2014 to Nov 7, 2014 · Seattle, Wa
Wells Fargo Advisors wirehouse
Apr 20, 2012 to Mar 24, 2014 · Seattle, Wa
Ameriprise Financial Services, LLC national BD
Aug 22, 2011 to Apr 17, 2012 · Kansas City, Mo
Mcadams Wright Ragen, Inc. former
Oct 15, 2010 to Aug 2, 2011 · Seattle, Wa
Wells Fargo Investments, LLC unclassified
Jun 28, 2007 to Oct 25, 2010 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

Mcadams Wright Ragen, Inc. to Robert W. Baird & Co. Incorporated
left Nov 7, 2014, registered Nov 7, 2014 (0 days) · corporate re-registration, not a move
Wells Fargo Advisors to Mcadams Wright Ragen, Inc.
left Mar 24, 2014, registered Apr 9, 2014 (16 days) · Other
Ameriprise Financial Services, LLC to Wells Fargo Advisors
left Apr 17, 2012, registered Apr 20, 2012 (3 days) · Affiliated broker-dealer or bank to wirehouse
Mcadams Wright Ragen, Inc. to Ameriprise Financial Services, LLC
left Aug 2, 2011, registered Aug 22, 2011 (20 days) · Other
Wells Fargo Investments, LLC to Mcadams Wright Ragen, Inc.
left Oct 25, 2010, registered Oct 15, 2010 (-10 days) · Other

Signals

Sissi Diem Ai Sondgroth added a FL registration at Robert W. Baird & Co. Incorporated
Sep 14, 2026 · New state registration · fact
Sissi Diem Ai Sondgroth added a TX registration at Robert W. Baird & Co. Incorporated
Sep 2, 2026 · New state registration · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address