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R•• A•••••••• L••

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

Former SEC-registered adviser, based in New York, New York, reporting $1.7B of regulatory assets.

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

As of 2019-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $1.7B
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +4.2%
Private clients: 71% of RAUM, $1.2B

Advisors Advisor movement Where the RAUM sits

As of 2019-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 17 Form ADV filings for this adviser, the latest 7.6 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 142919 · SEC 801-67508 · 17 filingsShow

CRD 142919SEC 801-67508First filing on the tape Mar 1, 2012, latest Mar 29, 2019IAPD

RAUM

$1.7B

reported, Item 5.F

Discretionary

0.3%

of RAUM

Private clients

71%

$1.2B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$1.7B as of Mar 29, 2019

Mar 1, 2012$1.2B then

HNW client RAUM$1.2B as of Mar 29, 2019

Mar 29, 2018$1.1B then

State-registered IARs (5.B.3)1 as of Mar 29, 2019

Mar 1, 20120 then

Employees (5.A)10 as of Mar 29, 2019

Mar 19, 20139 then

Private funds: no history

RAUM +4.2% over the last fiscal year+6.6% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 29, 2019; every figure names its basis

RAUM per advisor: $1.7BderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 146derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $10.4MderivedHNW RAUM over HNW clients
Average account: $1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.3%derivedof RAUM
Institutional: 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 10.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +4.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -10%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody: $180M, 45 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)
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$1.2B70%
Pension and profit-sharing plans$444M26%
Charitable organizations$63.9M3.7%
Individuals$18.0M1.0%

Individual clients: 30reported
HNW clients: 116reported
Pension plan clients: 1reported
Charitable clients: 5reported
Accounts: 1,205reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $180M for 45 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

Left, latest

W•••••• J••••• C••••• to W••••• E••••••••• A••••••• S•••••••• L••
Jan 2, 2020 · RIA to affiliated broker-dealer or bank

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•••••• W••••••• J••••• · Member, Chief Compliance Officercontrol
since 11/2006 · owns 50% to 75%
R•••••• B••••••• J••• · Membercontrol
since 11/2006 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 6 to 5
Aug 2, 2018 to Mar 29, 2019
Accounts · 1,129 to 1,205
Aug 2, 2018 to Mar 29, 2019
Advisory activities · 4 to 5
Aug 2, 2018 to Mar 29, 2019
HNW clients · 121 to 116
Aug 2, 2018 to Mar 29, 2019
Individual clients · 42 to 30
Aug 2, 2018 to Mar 29, 2019
Assets in custody · $214M to $180M
Aug 2, 2018 to Mar 29, 2019
Discretionary RAUM · $5.2M to $5.3M
Aug 2, 2018 to Mar 29, 2019
HNW RAUM · $1.1B to $1.2B
Aug 2, 2018 to Mar 29, 2019
Individual RAUM · $24.2M to $18.0M
Aug 2, 2018 to Mar 29, 2019
Non-discretionary RAUM · $1.7B to $1.7B
Aug 2, 2018 to Mar 29, 2019
Pension RAUM · $428M to $444M
Aug 2, 2018 to Mar 29, 2019
RAUM · $1.7B to $1.7B
Aug 2, 2018 to Mar 29, 2019
Advisory employees · 7 to 6
Mar 29, 2018 to Aug 2, 2018
Employees · 11 to 10
Mar 29, 2018 to Aug 2, 2018
Accounts · 137 to 1,129
Jun 21, 2017 to Mar 29, 2018
Advisory employees · 4 to 7
Jun 21, 2017 to Mar 29, 2018
Charity clients · unset to 5.0
Jun 21, 2017 to Mar 29, 2018
HNW clients · unset to 121.0
Jun 21, 2017 to Mar 29, 2018
Individual clients · unset to 42.0
Jun 21, 2017 to Mar 29, 2018
Pension plan clients · unset to 1.0
Jun 21, 2017 to Mar 29, 2018
Assets in custody · $42.9M to $214M
Jun 21, 2017 to Mar 29, 2018
Employees · 7 to 11
Jun 21, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Jun 21, 2017 to Mar 29, 2018
Discretionary RAUM · $9.8M to $5.2M
Jun 21, 2017 to Mar 29, 2018
HNW RAUM · unset to 1143737430.0
Jun 21, 2017 to Mar 29, 2018
Individual RAUM · unset to 24210965.0
Jun 21, 2017 to Mar 29, 2018
Non-discretionary RAUM · $1.4B to $1.7B
Jun 21, 2017 to Mar 29, 2018
Pension RAUM · unset to 427796727.0
Jun 21, 2017 to Mar 29, 2018
RAUM · $1.4B to $1.7B
Jun 21, 2017 to Mar 29, 2018
Accounts · 135 to 137
Mar 18, 2016 to Feb 18, 2017
Advisory employees · 3 to 4
Mar 18, 2016 to Feb 18, 2017
Employees · 6 to 7
Mar 18, 2016 to Feb 18, 2017
Discretionary RAUM · $9.5M to $9.8M
Mar 18, 2016 to Feb 18, 2017
Non-discretionary RAUM · $1.4B to $1.4B
Mar 18, 2016 to Feb 18, 2017
RAUM · $1.4B to $1.4B
Mar 18, 2016 to Feb 18, 2017
Accounts · 206 to 135
Jun 1, 2015 to Mar 18, 2016
Advisory employees · 6 to 3
Jun 1, 2015 to Mar 18, 2016
Assets in custody · unset to 42911000.0
Jun 1, 2015 to Mar 18, 2016
Custody of client assets · false to true
Jun 1, 2015 to Mar 18, 2016
Employees · 9 to 6
Jun 1, 2015 to Mar 18, 2016

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