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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

3• W••••• R••• L••

CRD 289081

LOCUST VALLEY, NY

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Search this name across graphsid dfx:ria:4e188198-f3da-67e1-7628-7d1e64c4c9e2

Data as of Jul 11, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Sep 20, 2017 to Jul 11, 2019
9 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $12.5MItem 5.F on the latest filing (2019-07-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12.5M
Private client RAUM: $12.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
3• D••••••••• W••••• A•••••••• L••	Shareholder	E	yes	02/2012	Sep 20, 2017	Jul 11, 2019
D••••••••• M•••••• M•	PRESIDENT/CHIEF COMPLIANCE OFFICER	Na	yes	02/2012	Sep 20, 2017

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
C••••••••• P•••••••• R••••• C•••	n/a	Independent wealth	$1.6B	Y	yes	n/a
3• W••••• I•••••••• S•••••••• L••	n/a	n/a	n/a	Y	yes	n/a

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$12.5M	$12.5M	5	5	1	n/a	n/a
2017

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
2018	$12.5M	n/a	n/a	n/a	n/a	5	1	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• P•••••••• R••••• C•••	4	Jul 17, 2019	Feb 9, 2021	LOCUST VALLEY, NY	Firm absorbed	RIA to RIA	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••••• C•••••• D••••••• I•••	2	Jul 16, 2020	Jun 6, 2019	LOCUST VALLEY, NY	Team lift out	Other	66.7%
C••••••••• P•••••••• R••••• C•••	2	Dec 31, 2016

Relationships

Affiliated with (1)

→ C••••••••• P•••••••• R••••• C•••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (3)

← D••••••••• M•••••• M•OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 20, 2017 to presentfactForm ADV
← 3• D••••••••• W••••• A•••••••• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 20, 2017 to presentfactForm ADV
← S•••• D••••• T•••• C••••••• L••Owner

Dated events

Occurred
Sep 20, 2017
First Form ADV filing
3• W••••• R••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e188198-f3da-67e1-7628-7d1e64c4c9e2
First observed: Sep 20, 2017
Last observed: Jul 11, 2019 87 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.