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Former SEC-registered adviser

H••••••• J• M• L•• P•••••••••

Former SEC-registered adviserNew York, New YorkCRD 106154SEC 801-46755IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$535M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$514M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$5.0M gross assets
History
9 filings and snapshots on the tape
RAUM$535M as of Mar 29, 2019
Mar 30, 2012$442M then
HNW client RAUM$504M as of Mar 29, 2019
Mar 29, 2018$545M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)7 as of Mar 29, 2019
Mar 28, 201311 then
Private funds1 as of Mar 29, 2019
Mar 30, 20121 then
RAUM -8.3% over the last fiscal year+2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$14.4MderivedHNW RAUM over HNW clients
Average account
$6.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.7%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
-8.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+6.3%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$5.0M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$504M94%
  • Individuals$10.3M1.9%
  • Pension and profit-sharing plans$9.6M1.8%
  • Pooled investment vehicles$5.0M0.9%
  • Charitable organizations$4.7M0.9%
  • Corporations and businesses$1.7M0.3%
Individual clients
16reported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
87reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $250,000 managedreported
Custody of client assets
$5.0M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• W••••••• D••••• · Principalcontrol
        since 01/2004 · owns less than 5%
      • M•••••• W••••••• C•••••••• I• · Principalcontrol
        since 05/1994 · owns less than 5%
      • P••••• J•••••• S• · Principal & Chief Compliance Officercontrol
        since 01/2004 · owns less than 5%
      • J••••• W••••••• D••••• · Sole Membercontrol
        since 12/2006 · owns 75% or more of S••••••• L••
      • M•••••• W••••••• C•••••••• I• · Sole Membercontrol
        since 05/1994 · owns 75% or more of M••••••• C•••••••••
      • P••••• J•••••• S• · Sole Membercontrol
        since 12/2006 · owns 75% or more of P•••• C•••••• L••
      Entity owners
      • H•• H••••••• C••••••••• · General Partner
        direct · owns 50% to 75%
      • M••••••• C••••••••• · Limited Partner
        direct · owns 10% to 25%
      • P•••• C•••••• L•• · Limited Partner
        direct · owns 5% to 10%
      • S••••••• L•• · Limited Partner
        direct · owns less than 5%
      • A••••••••• M••••••• G••••• I•• · Shareholder
        indirect · owns 75% or more of H•• H••••••• C••••••••• · public reporting company
      • A••••••••• M••••••• G••••• I••• · Shareholder
        indirect · owns 75% or more of A•• N•• Y••• H••••••• C•••• · public reporting company
      • A•• N•• Y••• H••••••• C•••• · Limited Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•• F•••• L••
        investment adviserbankpooled vehicle sponsornRAUM $18B
      • H••••••• A••••••••• I••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 83 to 87
        Mar 29, 2018 to Mar 29, 2019
      • HNW clients · 36 to 35
        Mar 29, 2018 to Mar 29, 2019
      • Individual clients · 12 to 16
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $8.7M to $5.0M
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $583M to $535M
        Mar 29, 2018 to Mar 29, 2019
      • HNW RAUM · $545M to $504M
        Mar 29, 2018 to Mar 29, 2019
      • Individual RAUM · $9.5M to $10.3M
        Mar 29, 2018 to Mar 29, 2019
      • Pension RAUM · $13.5M to $9.6M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $8.8M to $5.0M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $583M to $535M
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 87 to 83
        Mar 28, 2017 to Mar 29, 2018
      • HNW clients · unset to 36.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual clients · unset to 12.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 28, 2017 to Mar 29, 2018
      • Assets in custody · $7.3M to $8.7M
        Mar 28, 2017 to Mar 29, 2018
      • Employees · 9 to 7
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $447M to $583M
        Mar 28, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 545331000.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 9475700.0
        Mar 28, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 13531000.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 8755000.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $447M to $583M
        Mar 28, 2017 to Mar 29, 2018
      • Wrap assets (manager) · unset to 250000.0
        Mar 28, 2017 to Mar 29, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Accounts · 90 to 87
        Mar 29, 2016 to Mar 28, 2017
      • Assets in custody · $9.1M to $7.3M
        Mar 29, 2016 to Mar 28, 2017
      • Employees · 10 to 9
        Mar 29, 2016 to Mar 28, 2017
      • Discretionary RAUM · $493M to $447M
        Mar 29, 2016 to Mar 28, 2017
      • RAUM · $493M to $447M
        Mar 29, 2016 to Mar 28, 2017
      • Assets in custody · $8.8M to $9.1M
        Mar 24, 2015 to Mar 29, 2016
      • Discretionary RAUM · $489M to $493M
        Mar 24, 2015 to Mar 29, 2016
      • RAUM · $489M to $493M
        Mar 24, 2015 to Mar 29, 2016
      • Accounts · 100 to 90
        Mar 31, 2014 to Mar 24, 2015
      • Advisory employees · 7 to 6
        Mar 31, 2014 to Mar 24, 2015
      • Assets in custody · $5.6M to $8.8M
        Mar 31, 2014 to Mar 24, 2015
      • Employees · 11 to 10
        Mar 31, 2014 to Mar 24, 2015
      • Discretionary RAUM · $536M to $489M
        Mar 31, 2014 to Mar 24, 2015
      • RAUM · $536M to $489M
        Mar 31, 2014 to Mar 24, 2015
      • Accounts · 113 to 100
        Nov 8, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • H••••••• J• M• L•• P••••••••• reported RAUM $583.4M, up 31% from $446.9M (2017-03-28 to 2018-03-29)
        Mar 29, 2018 · 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