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W••••• F•••• R••••••••• 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••••• F•••• R••••••••• L••

CRD 158982

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Search this name across graphsid dfx:ria:f0755730-314a-3b63-792a-387fb4177324

Data as of Nov 16, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 3, 2012 to Nov 16, 2012
5 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: $0Item 5.F on the latest filing (2012-11-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 4
Advisory employees: 3
Accounts

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
P•••••• M••••• S••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	08/2011	Mar 3, 2012	Nov 16, 2012
K••••• P••••• W••••••	Member	B	no	07/2012	Jul 26, 2012

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•••••• P••••••• G••••• I•••	n/a	Independent wealth	$237M	N	yes	n/a

Relationships

Affiliated with (1)

→ M•••••• P••••••• GROUPRegistered adviserother investment adviser, common control
factForm ADV

Owns (1)

← K••••• P••••• W••••••OwnerMEMBER, ownership code B, individual
Jul 26, 2012 to presentfactForm ADV

Controls (1)

← P•••••• M••••• S••••••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 3, 2012 to presentfactForm ADV

Registered with (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0755730-314a-3b63-792a-387fb4177324
First observed: Mar 3, 2012
Last observed: Nov 16, 2012 168 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.