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Investment Adviser Firm Summary

WIPFLI FINANCIAL ADVISORS, LLC (CRD# 109983 / SEC# 801-56865)
Alternate Names: DZH PHILLIPS WEALTH MANAGEMENT , HEWINS FINANCIAL ADVISORS, LLC , ONCUE WEALTH MANAGMENT SOLUTIONS , TFG HEWINS , WIPFLI FINANCIAL ADVISORS, LLC , WIPFLI HEWINS INVESTMENT ADVISORS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/01/1999

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 12/02/2014
California 05/02/2000
Colorado 12/02/2014
Delaware 01/05/2015
Florida 03/03/2003
Illinois 07/02/2013
Indiana 09/09/2015
Iowa 03/15/2018
Louisiana 05/09/2014
Maryland 03/15/2018
Massachusetts 03/15/2018
Michigan 05/09/2014
Minnesota 04/16/2007
Missouri 03/28/2012
Montana 01/08/2016
Nebraska 07/01/2013
Nevada 09/17/2013
New Hampshire 10/05/2012
New Jersey 01/16/2015
New York 12/03/2014
North Carolina 10/13/2015
Ohio 12/03/2014
Oregon 05/03/2006
Pennsylvania 12/04/2012
Tennessee 03/15/2018
Texas 12/12/2012
Virginia 05/04/2015
Washington 01/11/2010
Wisconsin 03/21/2013

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser