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Registered advisor
W•••••• D••••• E•••••
Feed of 09/14/2026
Also filed as W•••••• D••••• E•••••
At current firm
3 y
since Aug 10, 2023
In the industry
31 y
since Jun 12, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Overland Park, Ks
- S••••••• F•••••••• S•••••••• I••• formerAug 21, 2013 to Aug 10, 2023 · Leawood, Ks
- H•••••• T••••••• • K•••• L•• independent RIAOct 5, 2004 to Aug 15, 2013 · Leawood, Ks
- N•• E•••••• S••••••••• C••••••••• formerSep 16, 1997 to Sep 17, 2004 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to S••••••• F•••••••• S•••••••• I•••left Aug 15, 2013, registered Aug 21, 2013 (6 days) · Other
- N•• E•••••• S••••••••• C••••••••• to H•••••• T••••••• • K•••• L••left Sep 17, 2004, registered Oct 5, 2004 (18 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address