DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

H••• W•••••• R•••••

P•• W••••• M•••••••••BD affiliatedWilmington, Oh dual registrantIAPD 3095015

Feed of 09/14/2026

Also filed as H••• W R•••••

At current firm

2 y

since Mar 21, 2024

In the industry

25 y

since Feb 2, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•• W••••• M••••••••• BD affiliated current
since Mar 21, 2024 · Wilmington, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Sep 2, 2020 to Mar 14, 2024 · Dayton, Oh
M•• A••••••• F•••••••• M••••••••• I••• former
Feb 20, 2019 to Aug 24, 2020 · Centerville, Oh
E• H••••• I••••••••• L•• former
Jun 12, 2017 to Dec 5, 2018 · Springfield, Oh
S•••••••• A••••••• L•• national BD
Jan 14, 2016 to Jun 14, 2017 · Covington, Ky
V•••• F•••••••• A•••••••• I••• BD affiliated
Dec 3, 2010 to Oct 31, 2012 · Columbus, Oh
U••• B•••••• I••••••••• I••• former
Jul 17, 2009 to Sep 28, 2010 · Oakwood, Oh
K•••••••• W••••• A••••••• independent RIA
Feb 14, 2005 to Jul 16, 2009 · Springboro, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 2, 2001 to Nov 6, 2002 · Dayton, Oh

Moves

a registration end followed by a registration begin elsewhere

F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••
left Mar 14, 2024, registered Mar 21, 2024 (7 days) · Affiliated broker-dealer or bank to another
M•• A••••••• F•••••••• M••••••••• I••• to F•••• T•••• S••••••••• I•••
left Aug 24, 2020, registered Sep 2, 2020 (9 days) · Affiliated broker-dealer or bank to another
E• H••••• I••••••••• L•• to M•• A••••••• F•••••••• M••••••••• I•••
left Dec 5, 2018, registered Feb 20, 2019 (77 days) · Other
S•••••••• A••••••• L•• to E• H••••• I••••••••• L••
left Jun 14, 2017, registered Jun 12, 2017 (-2 days) · Affiliated broker-dealer or bank to a newly registered adviser
V•••• F•••••••• A•••••••• I••• to S•••••••• A••••••• L••
left Oct 31, 2012, registered Jan 14, 2016 (1170 days) · Other
U••• B•••••• I••••••••• I••• to V•••• F•••••••• A•••••••• I•••
left Sep 28, 2010, registered Dec 3, 2010 (66 days) · Other
K•••••••• W••••• A••••••• to U••• B•••••• I••••••••• I•••
left Jul 16, 2009, registered Jul 17, 2009 (1 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•••••••• W••••• A•••••••
left Nov 6, 2002, registered Feb 14, 2005 (831 days) · Wirehouse to independent RIA

Signals

H••• W•••••• R••••• left F•••• T•••• S••••••••• I••• for P•• W••••• M••••••••• (registered 2024-03-21)
Mar 14, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address