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Registered advisor
R•••••• W••• H••••••
Feed of 09/15/2026
Also filed as W••• H••••••
At current firm
5 y
since Jul 21, 2021
In the industry
36 y
since May 3, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Highlands Ranch, Co
- W•••••• • R••• formerMar 17, 2011 to Jul 21, 2021 · Golden, Co
- N•• E•••••• S••••••••• C••••••••• formerApr 23, 2008 to Mar 11, 2011 · Colorado Springs, Co
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 21, 2006 to Aug 20, 2007 · Colorado Springs, Co
- P•••• S••••••••• L•• no RAUMFeb 17, 2001 to Dec 13, 2005 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to W•••••• • R•••left Mar 11, 2011, registered Mar 17, 2011 (6 days) · Other
- M•• I•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Aug 20, 2007, registered Apr 23, 2008 (247 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 13, 2005, registered Feb 21, 2006 (70 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address