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Former SEC-registered adviser

W•••• I••••••••• M••••••••• C••••

Former SEC-registered adviserCRD 111712SEC 801-21673IAPD
Latest filing Mar 30, 2024
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$169M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$164M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$169M as of Mar 30, 2024
Mar 30, 2012$200M then
HNW client RAUM$164M as of Mar 30, 2024
Mar 1, 2018$234M then
State-registered IARs (5.B.3)1 as of Mar 30, 2024
Mar 30, 20120 then
Employees (5.A)4 as of Mar 30, 2024
Jan 29, 20135 then
Private funds: no history
RAUM +8.3% over the last fiscal year+5.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2024; every figure names its basis
RAUM per advisor
$169MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
138derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$164M97%
  • Pension and profit-sharing plans$5.0M3.0%
Individual clients
0reported
HNW clients
138reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
139reported
Financial planning clients
0reported
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••••• J•••• · Chief Compliance Officercontrol
        since 01/2005 · owns 75% or more
      • W••••• J•••• · Presidentcontrol
        since 07/1984 · owns 75% or more
      • W••••• E••••• R••••••• · Secretary/Treasurer
        since 07/1984 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Hampstead, MD1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 143 to 139
        Mar 21, 2023 to Mar 30, 2024
      • Charity clients · 1 to 0
        Mar 21, 2023 to Mar 30, 2024
      • HNW clients · 140 to 138
        Mar 21, 2023 to Mar 30, 2024
      • Pension plan clients · 2 to 1
        Mar 21, 2023 to Mar 30, 2024
      • Discretionary RAUM · $156M to $169M
        Mar 21, 2023 to Mar 30, 2024
      • HNW RAUM · $149M to $164M
        Mar 21, 2023 to Mar 30, 2024
      • Pension RAUM · $6.0M to $5.0M
        Mar 21, 2023 to Mar 30, 2024
      • RAUM · $156M to $169M
        Mar 21, 2023 to Mar 30, 2024
      • Accounts · 133 to 143
        Feb 4, 2022 to Mar 21, 2023
      • Charity clients · 2 to 1
        Feb 4, 2022 to Mar 21, 2023
      • HNW clients · 127 to 140
        Feb 4, 2022 to Mar 21, 2023
      • Pension plan clients · 4 to 2
        Feb 4, 2022 to Mar 21, 2023
      • Discretionary RAUM · $168M to $156M
        Feb 4, 2022 to Mar 21, 2023
      • HNW RAUM · $156M to $149M
        Feb 4, 2022 to Mar 21, 2023
      • Pension RAUM · $11.0M to $6.0M
        Feb 4, 2022 to Mar 21, 2023
      • RAUM · $168M to $156M
        Feb 4, 2022 to Mar 21, 2023
      • Accounts · 150 to 133
        Mar 11, 2021 to Feb 4, 2022
      • Charity clients · 1 to 2
        Mar 11, 2021 to Feb 4, 2022
      • HNW clients · 146 to 127
        Mar 11, 2021 to Feb 4, 2022
      • Pension plan clients · 3 to 4
        Mar 11, 2021 to Feb 4, 2022
      • Discretionary RAUM · $145M to $168M
        Mar 11, 2021 to Feb 4, 2022
      • HNW RAUM · $137M to $156M
        Mar 11, 2021 to Feb 4, 2022
      • Pension RAUM · $7.0M to $11.0M
        Mar 11, 2021 to Feb 4, 2022
      • RAUM · $145M to $168M
        Mar 11, 2021 to Feb 4, 2022
      • Accounts · 205 to 150
        Jun 24, 2020 to Mar 11, 2021
      • HNW clients · 201 to 146
        Jun 24, 2020 to Mar 11, 2021
      • Discretionary RAUM · $185M to $145M
        Jun 24, 2020 to Mar 11, 2021
      • HNW RAUM · $177M to $137M
        Jun 24, 2020 to Mar 11, 2021
      • RAUM · $185M to $145M
        Jun 24, 2020 to Mar 11, 2021
      • Accounts · 236 to 205
        Mar 5, 2019 to Mar 31, 2020
      • Charity clients · 2 to 1
        Mar 5, 2019 to Mar 31, 2020
      • HNW clients · 230 to 201
        Mar 5, 2019 to Mar 31, 2020
      • Pension plan clients · 4 to 3
        Mar 5, 2019 to Mar 31, 2020
      • Other offices · 2 to 1
        Mar 5, 2019 to Mar 31, 2020
      • Discretionary RAUM · $200M to $185M
        Mar 5, 2019 to Mar 31, 2020
      • HNW RAUM · $188M to $177M
        Mar 5, 2019 to Mar 31, 2020
      • Pension RAUM · $10.0M to $7.0M
        Mar 5, 2019 to Mar 31, 2020
      • RAUM · $200M to $185M
        Mar 5, 2019 to Mar 31, 2020
      • Accounts · 249 to 236
        Mar 1, 2018 to Mar 5, 2019
      • HNW clients · 242 to 230
        Mar 1, 2018 to Mar 5, 2019
      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