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Former SEC-registered adviser

W•••••• P•••••••

Former SEC-registered adviserMinneaplois, MinnesotaCRD 107698SEC 801-47248IAPD
Legal name W•••••• P••••••• I••
Latest filing Mar 19, 2018
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$237M
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
64%
$151M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$237M as of Mar 19, 2018
Mar 30, 2012$140M then
HNW client RAUM: $151M
State-registered IARs (5.B.3)1 as of Mar 19, 2018
Mar 30, 20120 then
Employees (5.A)2 as of Mar 19, 2018
Mar 28, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+6.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2018; every figure names its basis
RAUM per advisor
$237MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
15derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$10.1MderivedHNW RAUM over HNW clients
Average account
$13.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
36%derivedof RAUM
Institutional
36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$151M64%
  • Charitable organizations$86.2M36%
Individual clients
0reported
HNW clients
15reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
17reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W••••••• C••••••• M••••••• · Chief Compliance Officercontrol
        since 10/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 17
        Mar 22, 2017 to Mar 19, 2018
      • Charity clients · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • Corporate clients · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • HNW clients · unset to 15.0
        Mar 22, 2017 to Mar 19, 2018
      • Individual clients · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • Pension plan clients · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • Discretionary RAUM · $84.0M to $84.5M
        Mar 22, 2017 to Mar 19, 2018
      • HNW RAUM · unset to 150824000.0
        Mar 22, 2017 to Mar 19, 2018
      • Individual RAUM · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • Non-discretionary RAUM · $130M to $153M
        Mar 22, 2017 to Mar 19, 2018
      • Pension RAUM · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 22, 2017 to Mar 19, 2018
      • RAUM · $214M to $237M
        Mar 22, 2017 to Mar 19, 2018
      • Accounts · 21 to 19
        Mar 30, 2016 to Mar 22, 2017
      • Discretionary RAUM · $74.0M to $84.0M
        Mar 30, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $110M to $130M
        Mar 30, 2016 to Mar 22, 2017
      • RAUM · $184M to $214M
        Mar 30, 2016 to Mar 22, 2017
      • Discretionary RAUM · $76.6M to $74.0M
        Mar 25, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $120M to $110M
        Mar 25, 2015 to Mar 30, 2016
      • RAUM · $197M to $184M
        Mar 25, 2015 to Mar 30, 2016
      • Accounts · 25 to 21
        Mar 31, 2014 to Mar 25, 2015
      • Discretionary RAUM · $82.5M to $76.6M
        Mar 31, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $110M to $120M
        Mar 31, 2014 to Mar 25, 2015
      • RAUM · $192M to $197M
        Mar 31, 2014 to Mar 25, 2015
      • Insurance-licensed employees · 0 to 1
        Mar 28, 2013 to Mar 31, 2014
      • State-registered IARs · 0 to 1
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $69.3M to $82.5M
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $85.2M to $110M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $154M to $192M
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 1.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 2.0
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $67.2M to $69.3M
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $72.3M to $85.2M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $140M to $154M
        Mar 30, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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