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E•••• F••••••••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $180M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$180M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
-8.4%
Form ADV, consecutive annual filings
Private clients
100%
of RAUM, $180M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. -8.4%
    RAUM, one year

    RAUM $196M to $180M (-8.4%) on the Form ADV filed 31 Mar 2026, while advisors on the filing held at 1.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 118961 · SEC 801-46920 · 19 filingsShow
CRD 118961SEC 801-46920Legal name H•••••• J••••• W•First filing on the tape Apr 18, 2012, latest Mar 31, 2026SEC status approved since Jul 12, 1994IAPD
RAUM
$180M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape

RAUM +9.7% a year over three years · the tape starts Apr 18, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$180M as of Mar 31, 2026
Apr 18, 2012$105M then
HNW client RAUM$180M as of Mar 31, 2026
May 11, 2018$111M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Apr 18, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Jul 26, 20131 then
Private funds: no history
RAUM -8.4% over the last fiscal year+9.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$180MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
-8.4%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow
  • High-net-worth individuals$180M100%
Individual clients
n/areported
HNW clients
50reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
50reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      J•••• W••• H•••••Florham Park, NjJan 1, 202642 y1
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J••••• W••• · Principal/Chief Compliance Officercontrol
        since 07/1994 · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Mar 31, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • HNW RAUM · $196M to $180M
        Apr 1, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $196M to $180M
        Apr 1, 2025 to Mar 31, 2026
      • RAUM · $196M to $180M
        Apr 1, 2025 to Mar 31, 2026
      • Financial planning clients · 26-50 to 26-50
        Apr 1, 2024 to Apr 1, 2025
      • HQ city · unset to
        Apr 1, 2024 to Apr 1, 2025
      Full history · 38 changes
      • HQ state · unset to
        Apr 1, 2024 to Apr 1, 2025
      • HNW RAUM · $150M to $196M
        Apr 1, 2024 to Apr 1, 2025
      • Non-discretionary RAUM · $150M to $196M
        Apr 1, 2024 to Apr 1, 2025
      • RAUM · $150M to $196M
        Apr 1, 2024 to Apr 1, 2025
      • HNW RAUM · $136M to $150M
        Apr 3, 2023 to Apr 1, 2024
      • Non-discretionary RAUM · $136M to $150M
        Apr 3, 2023 to Apr 1, 2024
      • RAUM · $136M to $150M
        Apr 3, 2023 to Apr 1, 2024
      • HNW RAUM · $148M to $136M
        Apr 1, 2022 to Apr 3, 2023
      • Non-discretionary RAUM · $148M to $136M
        Apr 1, 2022 to Apr 3, 2023
      • RAUM · $148M to $136M
        Apr 1, 2022 to Apr 3, 2023
      • HNW RAUM · $131M to $148M
        May 27, 2020 to Feb 19, 2021
      • Non-discretionary RAUM · $131M to $148M
        May 27, 2020 to Feb 19, 2021
      • RAUM · $131M to $148M
        May 27, 2020 to Feb 19, 2021
      • HNW RAUM · $111M to $131M
        Jan 10, 2020 to May 27, 2020
      • Non-discretionary RAUM · $111M to $131M
        Jan 10, 2020 to May 27, 2020
      • RAUM · $111M to $131M
        Jan 10, 2020 to May 27, 2020
      • Accounts · 60 to 50
        Jul 13, 2017 to May 11, 2018
      • HNW clients · unset to 50.0
        Jul 13, 2017 to May 11, 2018
      • Other offices · unset to 0.0
        Jul 13, 2017 to May 11, 2018
      • HNW RAUM · unset to 111000000.0
        Jul 13, 2017 to May 11, 2018
      • Non-discretionary RAUM · $102M to $111M
        Jul 13, 2017 to May 11, 2018
      • RAUM · $102M to $111M
        Jul 13, 2017 to May 11, 2018
      • Non-discretionary RAUM · $110M to $102M
        Mar 31, 2016 to Feb 24, 2017
      • RAUM · $110M to $102M
        Mar 31, 2016 to Feb 24, 2017
      • Non-discretionary RAUM · $115M to $110M
        Apr 28, 2015 to Mar 31, 2016
      • RAUM · $115M to $110M
        Apr 28, 2015 to Mar 31, 2016
      • Non-discretionary RAUM · $110M to $115M
        Apr 24, 2014 to Apr 28, 2015
      • RAUM · $110M to $115M
        Apr 24, 2014 to Apr 28, 2015
      • Non-discretionary RAUM · $105M to $110M
        Jul 26, 2013 to Apr 24, 2014
      • RAUM · $105M to $110M
        Jul 26, 2013 to Apr 24, 2014
      • Advisory employees · unset to 1.0
        Apr 18, 2012 to Jul 26, 2013
      • Employees · unset to 1.0
        Apr 18, 2012 to Jul 26, 2013
      • State-registered IARs · 0 to 1
        Apr 18, 2012 to Jul 26, 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $180Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026