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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

L••••• W••••••

L••••• W•••••• & ASSOCIATES, INC., CRD 110924

NEW PROVIDENCE, NJ

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Search this name across graphsid dfx:ria:55b9626f-d008-af33-20a9-6fdc6a1a24f0

Data as of Jan 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Jan 29, 2021
23 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: $617MItem 5.F on the latest filing (2021-01-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $617M
Private client RAUM: $612MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%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
L•••••• D••••••• W•••	PRESIDENT/TREASURER	Na	yes	08/2018	Mar 30, 2012	Jan 29, 2021
P••••••••• B•••	Shareholder	E	yes	08/2018	Sep 27, 2018

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
M••••• C•••••• M••••••••• I••	n/a	Former SEC adviser	$1.2B	N	yes	n/a
P•••• V••• W••••• M••••••••• I•••	n/a	Former SEC adviser	$393M	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
BONITA SPRINGS	FL	United States	3	no

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 9 of 10

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

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
2020	$617M	$580M	6.3%	$547M	4.1%	17	17	1	1

Relationships

Affiliated with (4)

→ M••••• C•••••• M••••••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ P•••• V••• W••••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← P•••• V••• W••••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← QUADRANT CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control

Dated events

Occurred
Mar 27, 2019
Control person left
Joan Deborah Rivosa (Chief Compliance Officer) no longer on Schedule A of L••••• W•••••• (listed 2018-10-30, absent 2019-03-27)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55b9626f-d008-af33-20a9-6fdc6a1a24f0
First observed: Mar 30, 2012
Last observed: Jan 29, 2021 68 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.