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W••••••••• • S•••••••• 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

W••••••••• • S•••••••• L••

CRD 281152

INDIANAPOLIS, IN

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Search this name across graphsid dfx:ria:92133eb0-b04f-09c5-a974-9dfe70779629

Data as of Dec 1, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 4, 2015 to Dec 1, 2015
8 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: $26.3MItem 5.F on the latest filing (2015-12-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $17.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%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
E•••••••• F••••• J•••••	MEMBER, MANAGER, CHIEF COMPLIANCE OFFICER	E	yes	08/2015	Aug 17, 2015	Dec 1, 2015

Relationships

Controls (1)

← E•••••••• F••••• J•••••OwnerMEMBER, MANAGER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Aug 17, 2015 to presentfactForm ADV

Registered with (1)

← Frank Joseph EspositoAdvisorregistration: previous registration
Aug 17, 2015 to Dec 31, 2015factForm ADV

Dated events

Occurred
Aug 4, 2015
First Form ADV filing
W••••••••• • S•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:92133eb0-b04f-09c5-a974-9dfe70779629
First observed: Aug 4, 2015
Last observed: Dec 1, 2015 131 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.