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

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

W•••••• F•••••••• S•••••••• L••

CRD 126339

PARAMUS, NJ

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Search this name across graphsid dfx:ria:a199e44b-74d1-6531-c6af-b69d68ef6184

Data as of Feb 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 6
On other graphs: 0
Observed: Jan 9, 2012 to Feb 27, 2024
15 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: $178MItem 5.F on the latest filing (2024-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $90.7M
Private client RAUM: $175MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%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
W••••••• C••••• R••••••	OWNER AND CLIENT ADVISOR	C	yes	12/2018	Jun 9, 2020	Feb 27, 2024
W••••••• T••••••• J•••	MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	06/2007	Jan 9, 2012

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

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
2023	$178M	$152M	17.0%	$160M	3.7%	3	3	0	0

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••••••• P•••••••	2	Jul 15, 2024	Jul 12, 2024	PARAMUS, NJ	Team lift out	RIA to RIA	100.0%

Relationships

Controls (2)

← W••••••• T••••••• J•••OwnerMEMBER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 9, 2012 to presentfactForm ADV
← W••••••• C••••• R••••••OwnerOWNER AND CLIENT ADVISOR, ownership code C, individual
Jun 9, 2020 to presentfactForm ADV

Registered with (2)

← T•••••• J••• W••••••Advisorregistration: previous registration
Apr 19, 2012 to Jul 15, 2024factForm ADV
← C•••• R•••••• W••••••

Dated events

Occurred
Jul 15, 2024
Team lift-out
2 advisors left W•••••• F•••••••• S•••••••• L•• (Paramus, NJ) for C••••• P••••••• P••••••• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Jul 15, 2024
Advisor changed firm
Colin Russell Watters left W•••••• F•••••••• S•••••••• L•• for C••••• P••••••• P••••••• (registered 2024-07-12)
Form ADVobserved 7 days ago
Occurred
Jul 15, 2024
Advisor changed firm
Timothy John Watters left W•••••• F•••••••• S•••••••• L•• for C••••• P••••••• P••••••• (registered 2024-07-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a199e44b-74d1-6531-c6af-b69d68ef6184
First observed: Jan 9, 2012
Last observed: Feb 27, 2024 31 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.