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N•••••• W•••••, LLC, CRD 307771
STAMFORD, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-08-31 (filing); first seen by DFX 2026-09-15.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J•••• P• S••••• | n/a | STAMFORD, CT | ST P•••, MN | WAYZATA, MN | Wayzata, MN | Minnetonka, MN | 20 | 21 | n/a | yes |
| J•••• A•• H••••••••• | n/a | Hudson, WI | ST P•••, MN | STAMFORD, CT | Wayzata, MN | 12 | 22 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••• J•••••• F••••••• | CFO AND TREASURER | Na | yes | 02/2020 | Apr 23, 2026 | Apr 23, 2026 |
| D••••• N•••••• A•• E•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2024 | Apr 23, 2026 | Apr 23, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| N•••••• A•••••••• L•• | n/a | Bd affiliated wealth | $43B | N | yes | n/a |
| L•• I•••••••• A•••••• I•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| CORAL GABLES | FL | United States | 7 | yes |
| Miami | FL | United States | 5 | no |
| Mcmurray | Pa | United States | 4 | yes |
| BOCA RATON | FL | United States | 3 | yes |
| Rogers | Ar | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 23, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 37 | 1 | 36 | 0.7% | 12 | 0 | 0 | 79 | 8 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $20B | $12B | 65.2% | $5.7B | 51.4% | 211 | 152 | 18 | 14 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 3 | Aug 31, 2026 | Sep 2, 2026 | SAVANNAH, GA | Team lift out | Wirehouse to ibd | 0.0% |
| A••••••••• L••• | 2 | Aug 28, 2026 | Aug 17, 2026 |
Dated 2026-08-28 (filing); first seen by DFX 2026-09-15.
| n/a |
| yes |
| M•••••• B•••• B•••• | n/a | STAMFORD, CT | WAYZATA, MN | ST P•••, MN | Wayzata, MN | 12 | 17 | 1 | yes |
| J••••• G•••••• | Chartered Financial Analyst | Wayzata, MN | Peoria, AZ | WAYZATA, MN | STAMFORD, CT | 8 | 10 | n/a | yes |
| M••••• E•••••••• H•••••• C••••••• | n/a | Brookfield, WI | Cedarburg, WI | MINNEAPOLIS, MN | ST P•••, MN | STAMFORD, CT | WAYZATA, MN | Wayzata, MN | 5 | 14 | n/a | yes |
| D•••• J••• D••• | n/a | STAMFORD, CT | PITTSBURGH, PA | 5 | 37 | 2 | yes |
| W••••• G••••••• | n/a | STAMFORD, CT | DARIEN, CT | 5 | 24 | 1 | yes |
| R••••• J••• S••••• | n/a | STAMFORD, CT | DARIEN, CT | 5 | 29 | 3 | yes |
| J•••••• M••• K•••••••• | n/a | DARIEN, CT | STAMFORD, CT | 5 | 32 | 3 | yes |
| J••• A•••••••• S••••• | Certified Financial Planner | STAMFORD, CT | 5 | 15 | 1 | yes |
| F•••••••• R•••••• P•••• | n/a | STAMFORD, CT | 5 | 21 | 2 | yes |
| K•••• R••• M••••• | n/a | STAMFORD, CT | 5 | 11 | 1 | yes |
| R••• C••••••• | n/a | STAMFORD, CT | 5 | 10 | 1 | yes |
| B••••••• A••••• L••• | n/a | STAMFORD, CT | 5 | 10 | 1 | yes |
| J•• P••••• | n/a | STAMFORD, CT | 5 | 16 | 1 | yes |
| D••••••• H•••• B•••• | n/a | STAMFORD, CT | 5 | 27 | 2 | yes |
| G••• R••• M•••• | n/a | Park City, UT | STAMFORD, CT | 5 | 34 | 2 | no |
| J•••••• S• C•••••• | n/a | STAMFORD, CT | 5 | 25 | 1 | yes |
| J••••••• D•••• H••••• | n/a | STAMFORD, CT | 5 | 12 | 1 | yes |
| S•••• E• K•• | n/a | STAMFORD, CT | 5 | 11 | 1 | yes |
| F•••• B• B•••• A••••••• | n/a | STAMFORD, CT | 5 | 43 | 2 | yes |
| R•••••• L•••• H••••••• | n/a | STAMFORD, CT | 5 | 33 | 2 | yes |
| P•••••• J•••• D•••• | n/a | MIAMI, FL | STAMFORD, CT | 4 | 33 | 2 | no |
| K•••• L••• G••••••• | n/a | DARIEN, CT | STAMFORD, CT | 4 | 43 | n/a | yes |
| G••••••• G••••••• | n/a | STAMFORD, CT | Coral Gables, FL | 4 | 26 | 3 | yes |
| N•••••• W•••••• L•• I• W••••• O•••• B• N•••••• C•••••• G••••• L•• |
| E |
| yes |
| 02/2020 |
| Apr 23, 2026 |
| Apr 23, 2026 |
| S•••••• R•••••• J••• | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2022 | Apr 23, 2026 | Apr 23, 2026 |
| S••••• K•••• P•••• | EXECUTIVE VICE PRESIDENT | Na | yes | 02/2020 | Apr 23, 2026 | Apr 23, 2026 |
| S•••••• J•••• A• | President | Na | yes | 02/2020 | Apr 23, 2026 | Apr 23, 2026 |
| E••••• G••••••••• L••• | Partner | E | yes | 10/2020 | Dec 8, 2020 | Sep 30, 2024 |
| E••••• H•••••••• L••• | Shareholder | E | yes | 06/2018 | Dec 8, 2020 | Sep 30, 2024 |
| E••••• I••••••• H•••••••• L••• | Shareholder | E | yes | 06/2018 | Feb 24, 2020 | Sep 30, 2024 |
| E••••• W••••• M••••••••• G•• L•• | GENERAL PARTNER | F | yes | 07/2020 | Dec 8, 2020 | Sep 30, 2024 |
| E••••• W••••• M••••••••• G•• L•• | GENERAL PARTNER | F | yes | 02/2020 | Dec 8, 2020 | Sep 30, 2024 |
| N•••••• W••••• H•••••••• L••• | Shareholder | E | yes | 02/2020 | Mar 30, 2021 | Sep 30, 2024 |
| P•••••••• I•••••••• V• L••• | Partner | D | yes | 06/2018 | Feb 24, 2020 | Sep 30, 2024 |
| P•• A••••••••• G•• L•• | GENERAL PARTNER | F | yes | 03/2018 | Dec 8, 2020 | Sep 30, 2024 |
| S••••••• D••••• J•••• | GENERAL COUNSEL AND SECRETARY | Na | yes | 02/2020 | Feb 24, 2020 | Sep 30, 2024 |
| H•••••••• R••••••• L•••• | EXECUTIVE VICE PRESIDENT | Na | no | 01/2022 | Apr 23, 2026 | Apr 23, 2026 |
| W•••••••• E••• M••••• F•••• L••• | Partner | C | no | 06/2018 | Feb 24, 2020 | Sep 30, 2024 |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| M•• A••••••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| N•••••• S••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| yes |
| MANHATTAN BEACH | CA | United States | 2 | yes |
| Atlanta | Ga | United States | 2 | yes |
| Allentown | Pa | United States | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| SAN F•••••••• | CA | United States | 1 | yes |
| SAN F•••••••• | CA | United States | 1 | yes |
| Pittsburgh | Pa | United States | 1 | yes |
| F••••••• | Tn | United States | 1 | yes |
| $20B |
| $18B |
| 211 |
| 99 |
| 18 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $12B | $12B | 152 | 70 | 14 | n/a | n/a |
| 2023 | Feb 21, 2024 | $8.6B | $8.2B | 115 | 62 | 11 | n/a | n/a |
| 2022 | Apr 1, 2023 | $5.7B | $4.4B | 80 | 42 | 6 | n/a | n/a |
| 2021 | Mar 31, 2022 | $4.4B | $3.5B | 42 | 25 | 2 | n/a | n/a |
| 2020 | Mar 30, 2021 | $1.8B | $1.6B | 13 | 6 | 1 | n/a | n/a |
| HOUSTON, TX |
| Team lift out |
| Other |
| 0.4% |
| M••••• S•••••• | 2 | Jul 21, 2026 | Jul 2, 2026 | NEW ALBANY, OH | Team lift out | Wirehouse to ibd | 0.0% |
| M••••• S•••••• | 2 | Feb 25, 2026 | Feb 23, 2026 | BOSTON, MA | Team lift out | Wirehouse to ibd | 0.0% |
| P••••• C•••••• A•••••••• L•• | 2 | Dec 31, 2025 | Jan 6, 2026 | BRAINTREE, MA | Team lift out | RIA to ibd | 7.7% |
| S••••• T•••• A•••••••• L•• | 4 | Dec 1, 2025 | Nov 17, 2025 | NEW YORK, NY | Team lift out | RIA to ibd | 12.9% |
| W•••• F•••• A••••••• | 4 | Aug 27, 2025 | Aug 22, 2025 | CHICAGO, IL | Team lift out | Wirehouse to ibd | 0.0% |
| E••• C•••••• G••••• L•• | 2 | Mar 13, 2025 | Jan 30, 2025 | ATLANTA, GA | Team lift out | RIA to ibd | 50.0% |
| M••••• S•••••• | 3 | Aug 22, 2024 | Aug 16, 2024 | ALLENTOWN, PA | Team lift out | Wirehouse to ibd | 0.0% |
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 6 | Aug 20, 2024 | Jan 1, 2025 | BOCA RATON, FL | Team lift out | Wirehouse to ibd | 0.0% |
| J••• M••••• S••••••••• L•• | 3 | Feb 3, 2024 | Feb 2, 2024 | ATLANTA, GA | Team lift out | Wirehouse to ibd | 0.0% |
| U•• F•••••••• S••••••• I••• | 3 | Sep 27, 2022 | Sep 19, 2022 | BEVERLY HILLS, CA | Team lift out | Wirehouse to RIA | 0.0% |
| N•••••• A••••••• | 4 | Aug 2, 2022 | Aug 2, 2022 | MCMURRAY, PA | Team lift out | Ibd to RIA | 1.6% |
| U•• F•••••••• S••••••• I••• | 2 | May 12, 2022 | Apr 29, 2022 | ORLANDO, FL | Team lift out | Wirehouse to RIA | 0.0% |
| U•• F•••••••• S••••••• I••• | 3 | May 10, 2022 | May 2, 2022 | NEW YORK, NY | Team lift out | Wirehouse to RIA | 0.0% |
| U•• F•••••••• S••••••• I••• | 10 | Feb 4, 2022 | Jan 3, 2024 | CORAL GABLES, FL | Team lift out | Wirehouse to RIA | 0.1% |
| M•• A••••••• F•••••••• M••••••••• I••• | 2 | Nov 1, 2021 | Oct 28, 2020 | PITTSBURGH, PA | Team lift out | Ibd to RIA | 2.7% |
| U•• F•••••••• S••••••• I••• | 3 | May 19, 2021 | Jun 16, 2021 | WEEHAWKEN, NJ | Team lift out | Wirehouse to RIA | 0.0% |
| U•• F•••••••• S••••••• I••• | 2 | Dec 22, 2020 | Dec 14, 2020 | WEEHAWKEN, NJ | Team lift out | Wirehouse to new firm | 0.0% |
| U•• F•••••••• S••••••• I••• | 6 | Dec 22, 2020 | Dec 22, 2020 | NEW YORK, NY | Team lift out | Wirehouse to new firm | 0.1% |