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

Charles Sebastian Claussen

Annex Wealth Management, LLCindependent RIABrookfield, WiIA-onlyIAPD 6420029

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Charles Sebastian Claussen

At current firm

1 y

since Jan 27, 2025

In the industry

11 y

since Jul 2, 2015 (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

Annex Wealth Management, LLC independent RIA current
since Jan 27, 2025 · Brookfield, Wi
Transcend Advisor Group, LLC independent RIA
Sep 10, 2024 to Jan 28, 2025 · Milwaukee, Wi
Cliftonlarsonallen Wealth Advisors, LLC BD affiliated
May 3, 2022 to Aug 2, 2024 · Minneapolis, Mn
Pruco Securities, LLC no RAUM
Aug 22, 2019 to May 16, 2022 · Wauwatosa, Wi
Hightower Advisors, LLC BD affiliated
Aug 17, 2018 to May 20, 2019 · Brookfield, Wi
Pruco Securities, LLC no RAUM
Sep 22, 2015 to Aug 3, 2018 · Wauwatosa, Wi
Waddell & Reed former
Jul 3, 2015 to Aug 28, 2015 · Waukesha, Wi

Moves

a registration end followed by a registration begin elsewhere

Transcend Advisor Group, LLC to Annex Wealth Management, LLC
left Jan 28, 2025, registered Jan 27, 2025 (-1 days) · RIA to RIA
Cliftonlarsonallen Wealth Advisors, LLC to Transcend Advisor Group, LLC
left Aug 2, 2024, registered Sep 10, 2024 (39 days) · Affiliated broker-dealer or bank to independent RIA
Pruco Securities, LLC to Cliftonlarsonallen Wealth Advisors, LLC
left May 16, 2022, registered May 3, 2022 (-13 days) · Affiliated broker-dealer or bank to another
Hightower Advisors, LLC to Pruco Securities, LLC
left May 20, 2019, registered Aug 22, 2019 (94 days) · Affiliated broker-dealer or bank to another
Pruco Securities, LLC to Hightower Advisors, LLC
left Aug 3, 2018, registered Aug 17, 2018 (14 days) · Affiliated broker-dealer or bank to another
Waddell & Reed to Pruco Securities, LLC
left Aug 28, 2015, registered Sep 22, 2015 (25 days) · Other

Signals

Charles Sebastian Claussen left Transcend Advisor Group, Llc for Annex Wealth Management, Llc (registered 2025-01-27)
Jan 28, 2025 · Advisor changed firm · fact
Charles Sebastian Claussen left Cliftonlarsonallen Wealth Advisors, Llc for Transcend Advisor Group, Llc (registered 2024-09-10)
Aug 2, 2024 · Advisor changed firm · fact
Charles Sebastian Claussen left Pruco Securities, Llc for Cliftonlarsonallen Wealth Advisors, Llc (registered 2022-05-03)
May 16, 2022 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address