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L•••••• N•••• A••••••••• L••

Independent wealth managerSEC-registered· Old Greenwich, Connecticutwebsite

Independent wealth manager, based in Old Greenwich, Connecticut, reporting $136M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$136M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
100%
of RAUM, $136M
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

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 126468 · SEC 801-133789 · 5 filingsShow
CRD 126468SEC 801-133789First filing on the tape Mar 6, 2012, latest Jan 18, 2026SEC status approved since Jun 30, 2025IAPD
RAUM
$136M
reported, Item 5.F
Discretionary
2.0%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$136M
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
5 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 6, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$136M as of Jan 18, 2026
Mar 6, 2012$60.4M then
HNW client RAUM$134M as of Jan 18, 2026
Jun 6, 2025$119M then
State-registered IARs (5.B.3)1 as of Jan 18, 2026
Mar 6, 20120 then
Employees (5.A)1 as of Jan 18, 2026
Jun 6, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 18, 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
$136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
56derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
2.0%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
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, otherreportedItem 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

98% high-net-worth individuals, 1.6% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$134M98%
  • Individuals$2.2M1.6%
Individual clients
16reported
HNW clients
40reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
126reported
Financial planning clients
51-100reported
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
      L•••••• C•••• N••••Certified Financial PlannerOld Greenwich, CtJul 31, 199740 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••• L••••••• C•••• · Managing Member/Chief Compliance Officercontrol
        since 07/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 127 to 126
        Jun 6, 2025 to Jan 18, 2026
      • Discretionary RAUM · $2.6M to $2.7M
        Jun 6, 2025 to Jan 18, 2026
      • HNW RAUM · $119M to $134M
        Jun 6, 2025 to Jan 18, 2026
      • Individual RAUM · $3.0M to $2.2M
        Jun 6, 2025 to Jan 18, 2026
      • Non-discretionary RAUM · $119M to $133M
        Jun 6, 2025 to Jan 18, 2026
      Full history · 22 changes
      • RAUM · $122M to $136M
        Jun 6, 2025 to Jan 18, 2026
      • Assets in custody · 4380028.0 to unset
        May 15, 2012 to Jun 6, 2025
      • Accounts · 32 to 127
        May 15, 2012 to Jun 6, 2025
      • Advisory employees · unset to 1.0
        May 15, 2012 to Jun 6, 2025
      • HNW clients · unset to 40.0
        May 15, 2012 to Jun 6, 2025
      • Individual clients · unset to 16.0
        May 15, 2012 to Jun 6, 2025
      • Custody of client assets · true to false
        May 15, 2012 to Jun 6, 2025
      • Employees · unset to 1.0
        May 15, 2012 to Jun 6, 2025
      • Financial planning clients · 26-50 to 51-100
        May 15, 2012 to Jun 6, 2025
      • State-registered IARs · 0 to 1
        May 15, 2012 to Jun 6, 2025
      • Other offices · unset to 0.0
        May 15, 2012 to Jun 6, 2025
      • Discretionary RAUM · $0 to $2.6M
        May 15, 2012 to Jun 6, 2025
      • HNW RAUM · unset to 118536169.0
        May 15, 2012 to Jun 6, 2025
      • Individual RAUM · unset to 3024529.0
        May 15, 2012 to Jun 6, 2025
      • Non-discretionary RAUM · $60.4M to $119M
        May 15, 2012 to Jun 6, 2025
      • RAUM · $60.4M to $122M
        May 15, 2012 to Jun 6, 2025
      • Assets in custody · $1.5M to $4.4M
        Mar 7, 2012 to May 15, 2012
      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
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 18, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 18, 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
      $136Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.