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RIA Intelligence
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Registered advisor
H••••• W•••
Chartered Financial Analyst
Feed of 09/15/2026
At current firm
1 y
since Jun 12, 2025
In the industry
12 y
since Sep 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 12, 2025 · New York, Ny
- H•••••••• A•••••••• L•• BD affiliatedOct 18, 2022 to Jun 6, 2025 · New York, Ny
- C•••••• S••••• • C••• I••• national BDMay 14, 2019 to Oct 24, 2022 · Schaumburg, Il
- M••••• S•••••• wirehouseMay 12, 2018 to Apr 4, 2019 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- H•••••••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 6, 2025, registered Jun 12, 2025 (6 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to H•••••••• A•••••••• L••left Oct 24, 2022, registered Oct 18, 2022 (-6 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Apr 4, 2019, registered May 14, 2019 (40 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- H••••• W••• left H•••••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-06-12)Jun 6, 2025 · Advisor changed firm · fact
- H••••• W••• left C•••••• S••••• • C••• I••• for H•••••••• A•••••••• L•• (registered 2022-10-18)Oct 24, 2022 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address