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

A••• H•••

T••••••• I••••••••• M••••••••• I•••BD affiliatedSparta, Wi dual registrantIAPD 4928857

Feed of 09/15/2026

Also filed as Anne Michelle Rauckman

At current firm

3 y

since Aug 4, 2023

In the industry

21 y

since Sep 10, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••• I••••••••• M••••••••• I••• BD affiliated current
since Aug 4, 2023 · Minneapolis, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 24, 2022 to Feb 27, 2023 · Norman, Ok
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 16, 2022 to Jul 21, 2022 · Seneca, Sc
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Sep 12, 2014 to Jan 10, 2022 · Pittsburgh, Pa
P•••••• A•••••• G••••• L•• BD affiliated
Aug 13, 2013 to Aug 22, 2014 · Seven Fields, Pa
G•• S••••••••• I••• BD affiliated
Jun 16, 2010 to Jul 1, 2013 · Wexford, Pa
W•••••• • R••• former
Apr 20, 2009 to Jun 16, 2010 · Pittsburgh, Pa
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 5, 2005 to Apr 7, 2009 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Feb 27, 2023, registered Aug 4, 2023 (158 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Jan 10, 2022, registered Jun 16, 2022 (157 days) · Other
P•••••• A•••••• G••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Aug 22, 2014, registered Sep 12, 2014 (21 days) · Other
G•• S••••••••• I••• to P•••••• A•••••• G••••• L••
left Jul 1, 2013, registered Aug 13, 2013 (43 days) · Other
W•••••• • R••• to G•• S••••••••• I•••
left Jun 16, 2010, registered Jun 16, 2010 (0 days) · Other
A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••
left Apr 7, 2009, registered Apr 20, 2009 (13 days) · Other

Signals

A••• H••• left A••••••••• F•••••••• S•••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2023-08-04)
Feb 27, 2023 · a•••••• firm change · fact
A••• H••• left N••••••••• M••••• I••••••••• S••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-06-16)
Jan 10, 2022 · a•••••• firm change · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address