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

D•••• A••• H•••

F•••••••• I••••••• L••state registeredSuamico, WiIA-onlyIAPD 4947707

Feed of 09/14/2026

Also filed as H••• D••••

At current firm

5 y

since Jan 29, 2021

In the industry

21 y

since Aug 12, 2005 (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

F•••••••• I••••••• L•• state registered current
since Jan 29, 2021 · Suamico, Wi
T•••••••• W••••• M••••••••• L•• independent RIA
May 29, 2020 to Apr 1, 2021 · Green Bay, Wi
W••••••• F•••••••• S•••••••• I••• former
Oct 23, 2017 to May 29, 2020 · Green Bay, Wi
L•• F•••••••• L•• BD affiliated
Dec 9, 2016 to Oct 31, 2017 · Green Bay, Wi
W•••• F•••• A••••••• wirehouse
Mar 29, 2012 to Dec 19, 2016 · Duluth, Mn
C•••• I••••••••• S••••••• C•••• former
Dec 2, 2009 to Mar 30, 2012 · Green Bay, Wi

Moves

a registration end followed by a registration begin elsewhere

T•••••••• W••••• M••••••••• L•• to F•••••••• I••••••• L••
left Apr 1, 2021, registered Jan 29, 2021 (-62 days) · RIA to a state-registered adviser
W••••••• F•••••••• S•••••••• I••• to T•••••••• W••••• M••••••••• L••
left May 29, 2020, registered May 29, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Oct 31, 2017, registered Oct 23, 2017 (-8 days) · Other · moved with a team
W•••• F•••• A••••••• to L•• F•••••••• L••
left Dec 19, 2016, registered Dec 9, 2016 (-10 days) · Other
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Mar 30, 2012, registered Mar 29, 2012 (-1 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: STATE REGISTEREDderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address