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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

W••• S•••••• • C••• L••

CRD 105655

NEW YORK, NY

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Search this name across graphsid dfx:ria:b30b785f-0595-7195-8e26-4acdfbe6b6b1

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Mar 29, 2019
19 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-13895
CRD: 105655

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• C••••••••• O• D•••••••	100% SHAREHOLDER	E	yes	10/1999	Mar 29, 2019	Mar 29, 2019
A••••••••• I••••••••• L••	100% SHAREHOLDER	E	yes	12/2013	Mar 30, 2016	Mar 29, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••••• L•••	n/a	Other adviser	$763B	Y	no	n/a
A•• E•••••••• F•••• M••••••••• G••••• L••	n/a	Asset manager	$167B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	n/a	n/a	n/a	n/a	0	0	0	0

Relationships

Affiliated with (15)

→ S•••••• C• B•••••••• • C••• L••Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
→ A••••••••• H•••••• L•••Registered adviserother investment adviser, common control
factForm ADV
→ A••••••••• G••••• D••••••••• C•••••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ A••••••••• C•••••••••Registered adviser

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 29, 2019
Control person left
Joseph Edward Farrell (Director, Svp And Controller) no longer on Schedule A of W••• S•••••• • C••• L•• (listed 2018-03-28, absent 2019-03-29)
Form ADVobserved 7 days ago

Show 1 bookkeeping events

Occurred
Mar 28, 2018
W••• S•••••• • C••• L•• reported 0 offices beyond its principal office, down from 23 (2018-01-08 to 2018-03-28)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b30b785f-0595-7195-8e26-4acdfbe6b6b1
First observed: Mar 30, 2012
Last observed: Mar 29, 2019 91 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.