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

P•••••• T•••••• R••••

O•••• A••••••• S•••••••• L••BD affiliatedAppleton, Wi dual registrantIAPD 5693017

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as P•••••• R••••

At current firm

4 y

since Apr 29, 2022

In the industry

16 y

since Jun 17, 2010 (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

O•••• W•••••• I••• BD affiliated current
since Jan 2, 2025 · Appleton, Wi
O•••• A••••••• S•••••••• L•• BD affiliated current
since Apr 29, 2022 · Appleton, Wi
L•• F•••••••• L•• BD affiliated
Oct 7, 2019 to May 15, 2020 · Neenah, Wi
V••••••• A•••••••• I••• BD affiliated
Jul 24, 2015 to Feb 6, 2018 · Charlotte, Nc
O•••••• C••••••• I•• independent RIA
Jan 9, 2014 to Jun 11, 2015 · Appleton, Wi
N•• E•••••• S••••••••• C••••••••• former
Jan 3, 2013 to Nov 26, 2013 · Brookfield, Wi
M•• I•••••••• S•••••••• L•• BD affiliated
Jul 7, 2010 to Jan 7, 2013 · Neenah, Wi

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to O•••• A••••••• S•••••••• L••
left May 15, 2020, registered Apr 29, 2022 (714 days) · Affiliated broker-dealer or bank to another
V••••••• A•••••••• I••• to L•• F•••••••• L••
left Feb 6, 2018, registered Oct 7, 2019 (608 days) · Other
O•••••• C••••••• I•• to V••••••• A•••••••• I•••
left Jun 11, 2015, registered Jul 24, 2015 (43 days) · Other
N•• E•••••• S••••••••• C••••••••• to O•••••• C••••••• I••
left Nov 26, 2013, registered Jan 9, 2014 (44 days) · Other
M•• I•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••
left Jan 7, 2013, registered Jan 3, 2013 (-4 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address