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P••••••• W••••• M••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Melville, New York

Former SEC-registered adviser, based in Melville, New York, reporting $221M of regulatory assets.

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

As of 2024-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $221M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +2.2%
Private clients: 100% of RAUM, $221M

Advisors Advisor movement Where the RAUM sits

As of 2024-03-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 26 Form ADV filings for this adviser, the latest 2.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 119376 · SEC 801-61254 · 26 filingsShow

CRD 119376SEC 801-61254First filing on the tape Mar 5, 2012, latest Mar 26, 2024IAPD

RAUM

$221M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$221M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$221M as of Mar 25, 2024

Mar 5, 2012$127M then

HNW client RAUM$181M as of Mar 25, 2024

Mar 29, 2018$156M then

State-registered IARs (5.B.3)1 as of Mar 25, 2024

Mar 5, 20130 then

Employees (5.A)3 as of Mar 25, 2024

Mar 5, 20135 then

Private funds: no history

RAUM +2.2% over the last fiscal year-0.9% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 26, 2024; every figure names its basis

RAUM per advisor: $221MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 181derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $538,639derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 0.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year: +2.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +3.4%derived
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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$181M82%
Individuals$40.2M18%

Individual clients: 100reported
HNW clients: 81reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 411reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
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

Left, latest

P••••• J•••••• C••••• to W••••• E••••••••• A••••••• S•••••••• L••
Apr 5, 2024 · RIA to RIA

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••• P•••••• J• · President/Chief Compliance Officercontrol
since 01/2001 · owns 75% or more

Related persons

Schedule D 7.A

P••••• J• C••••• P•••
n

Advisers that list P••••••• W••••• M••••••••• I••• as a related person

149098 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Boca Raton, Fl	0	0	0

Offices

Schedule D 1.F, the 25 largest

Boca Raton, FL1 employees
New York, NY1 employees
, 1 employees

What changed

consecutive filings, newest first

Accounts · 417 to 411
Mar 27, 2023 to Mar 25, 2024
Advisory employees · 4 to 1
Mar 27, 2023 to Mar 25, 2024
HNW clients · 63 to 81
Mar 27, 2023 to Mar 25, 2024
Individual clients · 112 to 100
Mar 27, 2023 to Mar 25, 2024
Employees · 4 to 3
Mar 27, 2023 to Mar 25, 2024
Discretionary RAUM · $217M to $221M
Mar 27, 2023 to Mar 25, 2024
HNW RAUM · $166M to $181M
Mar 27, 2023 to Mar 25, 2024
Individual RAUM · $51.0M to $40.2M
Mar 27, 2023 to Mar 25, 2024
RAUM · $217M to $221M
Mar 27, 2023 to Mar 25, 2024
Accounts · 420 to 417
Oct 10, 2022 to Mar 25, 2023
Advisory employees · 1 to 4
Oct 10, 2022 to Mar 25, 2023
HNW clients · 77 to 63
Oct 10, 2022 to Mar 25, 2023
Individual clients · 97 to 112
Oct 10, 2022 to Mar 25, 2023
Employees · 3 to 4
Oct 10, 2022 to Mar 25, 2023
Other offices · 2 to 3
Oct 10, 2022 to Mar 25, 2023
Discretionary RAUM · $235M to $217M
Oct 10, 2022 to Mar 25, 2023
HNW RAUM · $193M to $166M
Oct 10, 2022 to Mar 25, 2023
Individual RAUM · $42.5M to $51.0M
Oct 10, 2022 to Mar 25, 2023
RAUM · $235M to $217M
Oct 10, 2022 to Mar 25, 2023
Accounts · 452 to 420
Aug 9, 2021 to Mar 24, 2022
Advisory employees · 3 to 1
Aug 9, 2021 to Mar 24, 2022
HNW clients · 78 to 77
Aug 9, 2021 to Mar 24, 2022
Individual clients · 101 to 97
Aug 9, 2021 to Mar 24, 2022
Employees · 5 to 3
Aug 9, 2021 to Mar 24, 2022
Discretionary RAUM · $227M to $235M
Aug 9, 2021 to Mar 24, 2022
HNW RAUM · $185M to $193M
Aug 9, 2021 to Mar 24, 2022
Individual RAUM · $42.6M to $42.5M
Aug 9, 2021 to Mar 24, 2022
RAUM · $227M to $235M
Aug 9, 2021 to Mar 24, 2022
Accounts · 465 to 452
Jun 22, 2020 to Mar 30, 2021
HNW clients · 70 to 78
Jun 22, 2020 to Mar 30, 2021
Individual clients · 118 to 101
Jun 22, 2020 to Mar 30, 2021
Discretionary RAUM · $220M to $227M
Jun 22, 2020 to Mar 30, 2021
HNW RAUM · $165M to $185M
Jun 22, 2020 to Mar 30, 2021
Individual RAUM · $54.9M to $42.6M
Jun 22, 2020 to Mar 30, 2021
RAUM · $220M to $227M
Jun 22, 2020 to Mar 30, 2021
Accounts · 413 to 465
Oct 24, 2019 to Mar 29, 2020
Advisory employees · 1 to 3
Oct 24, 2019 to Mar 29, 2020
Individual clients · 99 to 118
Oct 24, 2019 to Mar 29, 2020
Discretionary RAUM · $195M to $220M
Oct 24, 2019 to Mar 29, 2020
HNW RAUM · $152M to $165M
Oct 24, 2019 to Mar 29, 2020

Signals

1 dated events

••• Locked
Apr 5, 2024 · Advisor changed firm · 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