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Former SEC-registered adviser

W••••• R•••••••• G••••

Former SEC-registered adviserWestlake Village, CaliforniaCRD 110131SEC 801-112876IAPD
Latest filing Mar 19, 2019
First filing on the tape Mar 31, 2012 · 13 filings
RAUM
$126M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
99%
$124M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$126M as of Mar 19, 2019
Mar 31, 2012$83.5M then
HNW client RAUM: $90.0M
State-registered IARs (5.B.3): 1
Employees (5.A): 3
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2019; every figure names its basis
RAUM per advisor
$126MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
221derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$262,896derivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$72.5MreportedItem 5.I
Custody
$58.1M, 162 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)
  • 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)
  • 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$90.0M71%
  • Individuals$34.4M27%
  • Pension and profit-sharing plans$1.5M1.2%
  • Charitable organizations$260,0000.2%
Individual clients
179reported
HNW clients
42reported
Pension plan clients
5reported
Charitable clients
1reported
Accounts
480reported
Financial planning clients
51-100reported
Wrap fee programs
$67.6M sponsored, $14.5M managedreported
Custody of client assets
$58.1M for 162 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F••••••• N•••• •••• · President, Chief Compliance Officercontrol
    since 06/1999 · owns less than 5%
  • F••••••• M•••• •••• · Trusteecontrol
    since 07/2005 · owns F of N••• F•••••• A•• M••• F•••••• F••••• T••••
  • F••••••• N•••• •••• · Trusteecontrol
    since 07/2005 · owns F of N••• F•••••• A•• M••• F•••••• F••••• T••••
  • F••••••• M•••• •••• · Secretary, Chief Financial Officer, Treasurer
    since 03/2011 · owns less than 5%
Entity owners
  • N••• F•••••• A•• M••• F•••••• F••••• T•••• · Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Los Angeles, CA5 employees
What changed
consecutive filings, newest first
  • Accounts · 517 to 480
    Oct 16, 2018 to Mar 19, 2019
  • Advisory activities · 4 to 5
    Oct 16, 2018 to Mar 19, 2019
  • HNW clients · 37 to 42
    Oct 16, 2018 to Mar 19, 2019
  • Individual clients · 184 to 179
    Oct 16, 2018 to Mar 19, 2019
  • Employees · 5 to 3
    Oct 16, 2018 to Mar 19, 2019
  • Financial planning clients · 1-10 to 51-100
    Oct 16, 2018 to Mar 19, 2019
  • Discretionary RAUM · $109M to $101M
    Oct 16, 2018 to Mar 19, 2019
  • HNW RAUM · $79.6M to $90.0M
    Oct 16, 2018 to Mar 19, 2019
  • Individual RAUM · $48.5M to $34.4M
    Oct 16, 2018 to Mar 19, 2019
  • Non-discretionary RAUM · $20.9M to $24.8M
    Oct 16, 2018 to Mar 19, 2019
  • Pension RAUM · $1.4M to $1.5M
    Oct 16, 2018 to Mar 19, 2019
  • RAUM · $130M to $126M
    Oct 16, 2018 to Mar 19, 2019
  • Wrap assets (manager) · $358,217 to $14.5M
    Oct 16, 2018 to Mar 19, 2019
  • Wrap assets (sponsor) · $62.0M to $67.6M
    Oct 16, 2018 to Mar 19, 2019
  • Assets in custody · unset to 58122252.0
    Apr 17, 2018 to Apr 19, 2018
  • Custody of client assets · false to true
    Apr 17, 2018 to Apr 19, 2018
  • Accounts · 482 to 517
    Aug 13, 2012 to Mar 19, 2018
  • Advisory employees · unset to 1.0
    Aug 13, 2012 to Mar 19, 2018
  • Charity clients · unset to 1.0
    Aug 13, 2012 to Mar 19, 2018
  • Corporate clients · unset to 0.0
    Aug 13, 2012 to Mar 19, 2018
  • HNW clients · unset to 37.0
    Aug 13, 2012 to Mar 19, 2018
  • Individual clients · unset to 184.0
    Aug 13, 2012 to Mar 19, 2018
  • Pension plan clients · unset to 5.0
    Aug 13, 2012 to Mar 19, 2018
  • Pooled vehicle clients · unset to 0.0
    Aug 13, 2012 to Mar 19, 2018
  • Employees · unset to 5.0
    Aug 13, 2012 to Mar 19, 2018
  • HQ city · AGOURA HILLS to WESTLAKE VILLAGE
    Aug 13, 2012 to Mar 19, 2018
  • State-registered IARs · unset to 1.0
    Aug 13, 2012 to Mar 19, 2018
  • Other offices · unset to 1.0
    Aug 13, 2012 to Mar 19, 2018
  • Discretionary RAUM · $67.7M to $109M
    Aug 13, 2012 to Mar 19, 2018
  • HNW RAUM · unset to 79649060.0
    Aug 13, 2012 to Mar 19, 2018
  • Individual RAUM · unset to 48548040.0
    Aug 13, 2012 to Mar 19, 2018
  • Non-discretionary RAUM · $15.8M to $20.9M
    Aug 13, 2012 to Mar 19, 2018
  • Pension RAUM · unset to 1366000.0
    Aug 13, 2012 to Mar 19, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Aug 13, 2012 to Mar 19, 2018
  • RAUM · $83.5M to $130M
    Aug 13, 2012 to Mar 19, 2018
  • Related insurance company · true to false
    Aug 13, 2012 to Mar 19, 2018
  • Wrap assets (manager) · unset to 358217.0
    Aug 13, 2012 to Mar 19, 2018
  • Wrap assets (sponsor) · unset to 61991537.0
    Aug 13, 2012 to Mar 19, 2018
  • Advisory activities · 3 to 4
    Jun 1, 2012 to Jul 13, 2012
Signals
1 dated events
  • W••••• R•••••••• G•••• filed its initial SEC registration (Form ADV)
    Mar 19, 2018 · First SEC registration · fact
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