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Wisconsin state IA firm CRDs
NOT_ACQUIRED. A Wisconsin office alone does not establish state registration.
InvestorTrustHub · Wisconsin
Wisconsin Investment Adviser & Securities Intelligence
The Wisconsin Department of Financial Institutions (DFI), Division of Securities, handles state adviser and securities-professional registration and publishes administrative orders. Registration is reported source status, never an endorsement.
Four separate adviser lenses
DFI explains state adviser registration and federal-covered notice filing. State IA, federal notice, ERA and principal-office geography are distinct firm-CRD lenses. They cannot be summed. A clean Wisconsin DFI bulk roster was NOT_ACQUIRED; present status requires an exact DFI or IAPD check.
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Federal notice firm CRDs
NOT_ACQUIRED. Notice filing is not Wisconsin state IA registration.
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Active ERA firm CRDs
NOT_ACQUIRED. An exempt reporting adviser is not an SEC-registered RIA.
211
Wisconsin principal-office firms
Accepted SEC/IARD roster, 2026-08-27. Office geography is not Wisconsin registration or notice filing.
The accepted national IAPD compilation is dated 2026-09-17; its source feeds returned 403 during this acquisition, so Wisconsin registration filters and exact CRD intersections were not rerun. The older accepted national roster supports only the 211 principal-office count. Exact SEC-file intersections: NOT_ACQUIRED. No national adviser population was duplicated.
Broker-dealers, agents and adviser representatives
DFI describes separate professional registrations and offers exact verification; FINRA BrokerCheck and IAPD provide additional firm or person research. Wisconsin-only bulk broker-dealer, agent and IAR rosters are NOT_ACQUIRED. A person CRD is not a firm CRD.
2022–2026 DFI administrative orders
The DFI administrative-order index supplies 95 dated rows in the bounded window: 53 summary, 22 consent, 10 final, and 10 settlement entries. All 95 rows include official PDF paths. The index has CRD-column text on 26 rows, but a combined respondent caption can mix firms and people. No index CRD was assigned to a canonical firm or person without confirming that grain.
These are index rows, not a unique-respondent count or complete enforcement history. Summary orders can contain proposed relief; do not read it as a final finding or completed payment. Exact adverse attachments: 0; name-only adverse joins: 0.
| Date | Respondent as indexed | Action label | Case | Source |
|---|---|---|---|---|
| 2026-08-20 | Camil T. Maroun; M-Pulse, LLC | Final Order | S-249715 (EX) | DFI PDF |
| 2026-07-01 | Sertexity Labs, Inc. | Summary Order | S-252902 (EX) | DFI PDF |
| 2026-06-26 | BG Wealth Sharing Ltd.; DSJ Exchange PTY Ltd.; HQI Exchange | Summary Order | S-252721 (EX) | DFI PDF |
| 2026-06-02 | Quanxer Ltd.; HLGEX Ltd.; Sarah Mitchell; Liew Wei Ken | Summary Order | S-252575 (EX) | DFI PDF |
| 2026-05-19 | GreenEVFleet | Summary Order | S-252393 (EX) | DFI PDF |
| 2026-05-12 | SDG Futures Regenerative Impact Ventures, LLC; Regenerative Impact Partners, LLC; Regenerative Impact, LLC; Ethos Botanics, LLC; Quang-Vu Dang; Melinda Woolf aka Melinda Skipworth; William Kesselring | Final Order | S-244705 (EX) | DFI PDF |
| 2026-05-11 | Freckie Capital LLC; James Alexander | Summary Order | S-252179 (EX) | DFI PDF |
| 2026-04-28 | choicetradeedge.com; Keith Fletcher; Clinton Kupay Onyeisi; Simon Solomon; Eugene Okeoghene Aminomo; Emmanuel Ogedengbe; Chikesirim Adele | Summary Order | S-252398 (LX) | DFI PDF |
| 2026-04-23 | RBC Capital Markets, LLC - Retail Minimum Commissions | Settlement Agreement | S-251172 (LX) | DFI PDF |
| 2026-04-14 | ElonMuskQuantumAI; Christopher Robert | Summary Order | S-251864 (EX) | DFI PDF |
Examinations and complaints
DFI describes a periodic investment-adviser examination program. Examination capability is KNOWN; provider-level exam rows and outcomes are NOT_ACQUIRED. The division accepts securities complaints and can investigate alleged violations. Complaint intake is KNOWN; provider complaint rows are NOT_ACQUIRED and outcomes are REQUEST_ONLY / NOT_ACQUIRED. A complaint is not an enforcement finding.
Source clocks and gaps
Accepted national principal-office roster: 2026-08-27, retrieved 2026-08-28. Later IAPD compilation source date: 2026-09-17; Wisconsin registration status date: unavailable. DFI order index retrieved 2026-09-29; each row retains its own issuance date and procedural label. Snapshot generated 2026-09-29. There is no universal Wisconsin securities as-of date.
Wisconsin state IA, notice and ERA counts, exact CRD/SEC intersections, DFI bulk registration, BD and person rosters, provider exam rows and complaint outcomes: NOT_ACQUIRED. New canonical firms: 0. Graph writes: 0. Claim eligibility changes: 0. No city pages, scores or adviser ranking.