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John L Moffat

BUENA VISTA INVESTMENT MANAGEMENT LLC·WISCONSIN RAPIDS, Wisconsin
Series 65Clean record26 years registeredBUENA VISTA INVESTMENT MANAGEMENT LLC
241 3RD STREET SOUTH, WISCONSIN RAPIDS, WI 54494CRD# 3135347Firm CRD# 123252

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
John L Moffat · WISCONSIN RAPIDS, WI
Registration
CRD #3135347 · BUENA VISTA INVESTMENT MANAGEMENT LLC · 26 years registered
Brand Profile
Not yet started
01

Career History

No current investment adviser registration
Last registered firm: BUENA VISTA INVESTMENT MANAGEMENT LLC
SULLIVAN INVESTMENT MANAGEMENT LLC
Dec 2019 – Dec 2024
WISCONSIN RAPIDS, WI
BUENA VISTA INVESTMENT MANAGEMENT LLC
Oct 2002 – Jan 2020
WISCONSIN RAPIDS, WI
WEALTH MANAGEMENT LLC
Oct 1999 – Dec 2002
APPLETON, WI
02

Registrations & Exams

FINRA examinations passed
Series 65
Registration record
First registered · October 14, 1999
Years registered · 26
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
BUENA VISTA INVESTMENT MANAGEMENT LLC
CRD 123252 · SEC 801-63732
AUM
$59M
Regulatory assets under management
Employees
1
170 client accounts
Services offered by BUENA VISTA INVESTMENT MANAGEMENT LLC
Per Form ADV
Portfolio management (individuals)
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
View all advisors at BUENA VISTA INVESTMENT MANAGEMENT LLC →
Introduction

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05

Frequently Asked Questions

What services does John L Moffat offer?
John L Moffat specializes in Investment Management, Fee-Only Advisory.
What are John L Moffat's credentials?
John L Moffat is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is John L Moffat located?
John L Moffat is based in WISCONSIN RAPIDS, Wisconsin, last registered with BUENA VISTA INVESTMENT MANAGEMENT LLC.
How does John L Moffat charge for services?
John L Moffat's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is BUENA VISTA INVESTMENT MANAGEMENT LLC?
BUENA VISTA INVESTMENT MANAGEMENT LLC has approximately 1 employees and manages $59M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at BUENA VISTA INVESTMENT MANAGEMENT LLC

Peter William Brey
WISCONSIN RAPIDS, WI
Joel Eugene Sullivan
WISCONSIN RAPIDS, WI

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Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Wisconsin
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Research
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