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W••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

W••••• A••••••• L••

CRD 304881

ST PETERSBURG, FL

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Search this name across graphsid dfx:ria:3d908489-6895-1974-ae5a-b0bebf6855b1

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 10
On other graphs: 0
Observed: Aug 2, 2019 to Apr 29, 2026
27 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=9.0
Regulatory AUM: $48.9MItem 5.F on the latest filing (2026-04-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $48.9M
Private client RAUM: $48.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• P•••••••	n/a	New York, NY	0	16	4	yes
J••••• E••••• S••••••	n/a	New York, NY	0	23

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• S•••• A••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2022	Oct 4, 2022	May 22, 2024
W••••• C•••••••••	OWNER, CORPORATION	E	yes	04/2021	Mar 1, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••• F•••••••• L••	n/a	n/a	n/a	Y	yes	NY
W••••• S••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 7 of 9

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
12	0	12	0.0%	0	0	0	12	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$48.9M	$31.6M	54.7%	$0	n/a	16	4	1	1

Relationships

Registered with (12)

← J••• R•••••••Advisorregistration: current employment
Apr 30, 2026 to presentfactForm ADV
← J••••• L•••• H••••Advisorregistration: current employment
Apr 23, 2026 to presentfactForm ADV
← A•••••• T•••••••••Advisorregistration: current employment
Apr 22, 2026 to presentfactForm ADV
← W•••••• E••••• M•••••••••

Dated events

Occurred
Nov 8, 2023
Control person joined
Lai Z•••• (Chief Executive Officer) appeared on Schedule A of W••••• A••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person left
Biao Lu (Chief Executive Officer) no longer on Schedule A of W••••• A••••••• L•• (listed 2022-10-04, absent 2023-03-31)
Form ADVobserved 7 days ago
Occurred
Oct 4, 2022
Control person left
Shen Lu (Chief Executive Officer; Chief Compliance Officer) no longer on Schedule A of W••••• A••••••• L•• (listed 2022-03-01, absent 2022-10-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d908489-6895-1974-ae5a-b0bebf6855b1
First observed: Aug 2, 2019
Last observed: Apr 29, 2026 4 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.