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W•• A•••••••• I•••: 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•• A•••••••• I•••

CRD 108907

NEW YORK, NY

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Search this name across graphsid dfx:ria:f3a76ca5-8eac-af11-98e7-8e8218523d40

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 28, 2013
2 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: $18.4MItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $18.4M
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
B•••••• M•••	DIRECTOR, CHIEF EXECUTIVE OFFICER & CHIEF FINANCIAL OFFICER	Na	yes	09/2010	Mar 30, 2012	Mar 28, 2013
B••••••• S•••••• J•••	SENIOR VICE PRESIDENT	Na	yes	02/2009	Mar 30, 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
W••• S•••••• A•••• M••••••••• L•••	n/a	Former SEC adviser	$266M	N	yes	n/a
B•••• A••• L••••••	n/a	n/a	n/a	N	yes	n/a

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
2012

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
2012	$18.4M	$16.6M	11.3%	n/a	n/a	26	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ W••• S•••••• • C•., LLCRegistered adviserother investment adviser, control
factForm ADV
→ W••• S•••••• A•••• M••••••••• L•••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Controls (8)

← W••• S•••••• • C••• L•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← T••••••• J••••• T•••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f3a76ca5-8eac-af11-98e7-8e8218523d40
First observed: Mar 30, 2012
Last observed: Mar 28, 2013 164 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.