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RIA Intelligence
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Registered advisor
T••• W•••• H•••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Apr 10, 2023
In the industry
30 y
since Jul 19, 1996 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Apr 10, 2023 · Irvine, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerJun 1, 2018 to May 8, 2023 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJul 11, 2008 to Jun 6, 2018 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Jul 24, 2008 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••left May 8, 2023, registered Apr 10, 2023 (-28 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jun 6, 2018, registered Jun 1, 2018 (-5 days) · Wirehouse to independent RIA · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 24, 2008, registered Jul 11, 2008 (-13 days) · Other
Signals
- T••• W•••• H••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-04-10)May 8, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address