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Former SEC-registered adviser

W••••••• A•••• M••••••••• I••

Former SEC-registered adviserSouthport, ConnecticutCRD 105795SEC 801-21845IAPD
Latest filing Mar 7, 2025
First filing on the tape Mar 29, 2012 · 16 filings
SEC status approved since Jul 20, 1984
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$397M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$397M as of Mar 7, 2025
Mar 29, 2012$432M then
HNW client RAUM$397M as of Mar 7, 2025
Mar 28, 2018$109M then
State-registered IARs (5.B.3)0 as of Mar 7, 2025
Mar 29, 20120 then
Employees (5.A)4 as of Mar 7, 2025
Mar 28, 20135 then
Private funds1 as of Mar 30, 2020
Mar 29, 20121 then
RAUM -6.0% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2025; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$66.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$397M100%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••••• A••••••••• L•••no longer reportedHedge Fund$73.0M13Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• A•••••• J••• · Chairmancontrol
        since 07/1983 · owns 75% or more
      • N••••••• E•••••• H••••• · Executive Vice Presidentcontrol
        since 09/1997 · owns less than 5%
      • L•••• J•••••••• K•••• · Chief Compliance Officer
        since 12/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list W••••••• A•••• M••••••••• I•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 6
        Mar 20, 2024 to Mar 7, 2025
      • Financial planning clients · 1-10 to 1-10
        Mar 20, 2024 to Mar 7, 2025
      • Discretionary RAUM · $422M to $397M
        Mar 20, 2024 to Mar 7, 2025
      • HNW RAUM · $422M to $397M
        Mar 20, 2024 to Mar 7, 2025
      • RAUM · $422M to $397M
        Mar 20, 2024 to Mar 7, 2025
      • Accounts · 5 to 4
        Mar 17, 2023 to Mar 20, 2024
      • Financial planning clients · unset to 1-10
        Mar 17, 2023 to Mar 20, 2024
      • Discretionary RAUM · $211M to $422M
        Mar 17, 2023 to Mar 20, 2024
      • HNW RAUM · $211M to $422M
        Mar 17, 2023 to Mar 20, 2024
      • RAUM · $211M to $422M
        Mar 17, 2023 to Mar 20, 2024
      • Discretionary RAUM · $275M to $211M
        Mar 23, 2022 to Mar 17, 2023
      • HNW RAUM · $275M to $211M
        Mar 23, 2022 to Mar 17, 2023
      • RAUM · $275M to $211M
        Mar 23, 2022 to Mar 17, 2023
      • Discretionary RAUM · $225M to $275M
        Sep 1, 2021 to Mar 23, 2022
      • HNW RAUM · $225M to $275M
        Sep 1, 2021 to Mar 23, 2022
      • RAUM · $225M to $275M
        Sep 1, 2021 to Mar 23, 2022
      • Accounts · 6 to 5
        Mar 30, 2020 to Mar 21, 2021
      • Advisory activities · 2 to 1
        Mar 30, 2020 to Mar 21, 2021
      • HNW clients · 4.0 to unset
        Mar 30, 2020 to Mar 21, 2021
      • Employees · 5 to 4
        Mar 30, 2020 to Mar 21, 2021
      • Financial planning clients · 1-10 to unset
        Mar 30, 2020 to Mar 21, 2021
      • Private funds · 1 to unset
        Mar 30, 2020 to Mar 21, 2021
      • Discretionary RAUM · $298M to $225M
        Mar 30, 2020 to Mar 21, 2021
      • Individual RAUM · unset to 0.0
        Mar 30, 2020 to Mar 21, 2021
      • Pension RAUM · unset to 0.0
        Mar 30, 2020 to Mar 21, 2021
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2020 to Mar 21, 2021
      • RAUM · $298M to $225M
        Mar 30, 2020 to Mar 21, 2021
      • Discretionary RAUM · $291M to $298M
        Mar 4, 2019 to Mar 30, 2020
      • HNW RAUM · $222M to $225M
        Mar 4, 2019 to Mar 30, 2020
      • RAUM · $291M to $298M
        Mar 4, 2019 to Mar 30, 2020
      • Accounts · 5 to 6
        Mar 28, 2018 to Mar 4, 2019
      • Advisory employees · 3 to 2
        Mar 28, 2018 to Mar 4, 2019
      • HNW clients · 5 to 4
        Mar 28, 2018 to Mar 4, 2019
      • Financial planning clients · unset to 1-10
        Mar 28, 2018 to Mar 4, 2019
      • Discretionary RAUM · $193M to $291M
        Mar 28, 2018 to Mar 4, 2019
      • HNW RAUM · $109M to $222M
        Mar 28, 2018 to Mar 4, 2019
      • RAUM · $193M to $291M
        Mar 28, 2018 to Mar 4, 2019
      • Accounts · 7 to 5
        Mar 22, 2017 to Mar 28, 2018
      • BD registered reps · 3 to 0
        Mar 22, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 22, 2017 to Mar 28, 2018
      Signals
      2 dated events
      • W••••••• A•••• M••••••••• I•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $396.8M)
        Mar 2, 2026 · Left the SEC roster · derived
      • W••••••• A•••• M••••••••• I•• reported RAUM $422.0M, up 100% from $211.3M (2023-03-17 to 2024-03-20)
        Mar 20, 2024 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026