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W••••••••• • C••• L••

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

Former SEC-registered adviser, based in Malta, New York, reporting $489M of regulatory assets.

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

As of 2022-10-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $489M
RAUM change, 1 year: -18%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2022-10-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 7 Oct 2022, RAUM $599M to $489M (-18.4%) on the Form ADV filed 7 Oct 2022, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 144996 · SEC 801-68321 · 24 filingsShow

CRD 144996SEC 801-68321First filing on the tape Mar 27, 2012, latest Oct 7, 2022IAPD

RAUM

$489M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM -19% a year over three years · the tape starts Mar 27, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$489M as of Mar 30, 2022

Mar 27, 2012$648M then

HNW client RAUM$0 as of Mar 30, 2022

Mar 28, 2018$82.3M then

State-registered IARs (5.B.3)1 as of Mar 30, 2022

Apr 1, 20130 then

Employees (5.A)8 as of Mar 30, 2022

Apr 1, 20137 then

Private funds: no history

RAUM -18% over the last fiscal year-19% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Oct 7, 2022; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $489MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $37.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 8.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -100%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
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

46% investment companies, 27% state and municipal entities, and 4 other client types

The breakdown by client type, and the client counts6 client typesShow

Investment companies$224M46%
State and municipal entities$130M27%
Pooled investment vehicles$87.1M18%
Pension and profit-sharing plans$38.2M7.8%
Corporations and businesses$7.0M1.4%
Charitable organizations$2.7M0.6%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 2reported
Charitable clients: 1reported
Accounts: 13reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 1 most recent departures on the tape

M••••• S••••••1 advisor

Left, latest

E••• M•••••• N••• to M••••• S••••••
Dec 18, 2018 · Other

Joined, latest

E••• M•••••• N••• from S•••••••• A••••••• L••
May 15, 2017 · Other

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••••• G•••••• S••••• E••••• · Membercontrol
since 01/2019 · owns 25% to 50%
H••••• M•••• L•••• · Member/Ccocontrol
since 09/2007 · owns 25% to 50%
N••••••• P•••• T•••••• · Membercontrol
since 08/2007 · owns 25% to 50%
W•••••••• S••••••• M•••••• · Membercontrol
since 08/2007 · owns 25% to 50%

Ownership changes

10 Schedule A changes between consecutive filings, latest first

Removed D••••••• H••••• R•••••• · Member
filing of Oct 7, 2022, against Mar 30, 2022 · owns 10 to 25%
Removed C••••• L•••• J••• · Member
filing of Oct 7, 2022, against Mar 30, 2022 · owns 5 to 10%
Added G••••• H•••••••• S••••• E••••• · Member
filing of Nov 26, 2021, against Mar 29, 2021 · owns 5 to 10%
Added C••••• L•••• J••• · Member
filing of Nov 26, 2021, against Mar 29, 2021 · owns 5 to 10%
Removed J••• W••••••••• B••••• · Member control
filing of Nov 26, 2021, against Mar 29, 2021 · owns 50 to 75%

All 10 changes

Removed C••••• L•••• J••• · Member
filing of May 2, 2016, against Mar 28, 2016 · owns under 5%
Removed B•••• R••• D• · Member
filing of May 2, 2016, against Mar 28, 2016 · owns under 5%
Added B•••• R••• D• · Member
filing of Mar 28, 2016, against Sep 4, 2015 · owns under 5%
Added C••••• L•••• J••• · Member
filing of Mar 28, 2014, against Sep 10, 2013 · owns under 5%
Removed M••• K••••• J••••• · Member
filing of Nov 27, 2012, against Mar 27, 2012 · owns 10 to 25%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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

Accounts · 16 to 13
Nov 26, 2021 to Mar 30, 2022
Advisory employees · 6 to 5
Nov 26, 2021 to Mar 30, 2022
Advisory activities · 4 to 3
Nov 26, 2021 to Mar 30, 2022
HNW clients · 3 to 0
Nov 26, 2021 to Mar 30, 2022
Employees · 9 to 8
Nov 26, 2021 to Mar 30, 2022

Full history · 80 changes

Discretionary RAUM · $599M to $489M
Nov 26, 2021 to Mar 30, 2022
HNW RAUM · $5.8M to $0
Nov 26, 2021 to Mar 30, 2022
Pension RAUM · $34.7M to $38.2M
Nov 26, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $101M to $87.1M
Nov 26, 2021 to Mar 30, 2022
RAUM · $599M to $489M
Nov 26, 2021 to Mar 30, 2022
Accounts · 23 to 16
Jan 5, 2021 to Mar 29, 2021
Charity clients · 3 to 1
Jan 5, 2021 to Mar 29, 2021
HNW clients · 6 to 3
Jan 5, 2021 to Mar 29, 2021
Other offices · 1 to 0
Jan 5, 2021 to Mar 29, 2021
Discretionary RAUM · $541M to $599M
Jan 5, 2021 to Mar 29, 2021
HNW RAUM · $16.4M to $5.8M
Jan 5, 2021 to Mar 29, 2021
Pension RAUM · $19.5M to $34.7M
Jan 5, 2021 to Mar 29, 2021
Pooled vehicle RAUM · $44.0M to $101M
Jan 5, 2021 to Mar 29, 2021
RAUM · $541M to $599M
Jan 5, 2021 to Mar 29, 2021
Accounts · 32 to 23
Mar 28, 2019 to Mar 30, 2020
Advisory employees · 7 to 6
Mar 28, 2019 to Mar 30, 2020
Advisory activities · 5 to 4
Mar 28, 2019 to Mar 30, 2020
Charity clients · 5 to 3
Mar 28, 2019 to Mar 30, 2020
HNW clients · 13 to 6
Mar 28, 2019 to Mar 30, 2020
Employees · 10 to 9
Mar 28, 2019 to Mar 30, 2020
Discretionary RAUM · $924M to $541M
Mar 28, 2019 to Mar 30, 2020
HNW RAUM · $44.7M to $16.4M
Mar 28, 2019 to Mar 30, 2020
Pension RAUM · $24.9M to $19.5M
Mar 28, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $57.7M to $44.0M
Mar 28, 2019 to Mar 30, 2020
RAUM · $924M to $541M
Mar 28, 2019 to Mar 30, 2020
Accounts · 42 to 32
Aug 9, 2018 to Mar 28, 2019
Advisory employees · 6 to 7
Aug 9, 2018 to Mar 28, 2019
BD registered reps · 1 to 0
Aug 9, 2018 to Mar 28, 2019
Charity clients · 11 to 5
Aug 9, 2018 to Mar 28, 2019
HNW clients · 19 to 13
Aug 9, 2018 to Mar 28, 2019
State-registered IARs · 2 to 1
Aug 9, 2018 to Mar 28, 2019
Discretionary RAUM · $1.3B to $924M
Aug 9, 2018 to Mar 28, 2019
HNW RAUM · $82.3M to $44.7M
Aug 9, 2018 to Mar 28, 2019
Pension RAUM · $22.7M to $24.9M
Aug 9, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $64.3M to $57.7M
Aug 9, 2018 to Mar 28, 2019
RAUM · $1.3B to $924M
Aug 9, 2018 to Mar 28, 2019
Accounts · 43 to 42
Mar 29, 2017 to Mar 28, 2018
Advisory employees · 4 to 6
Mar 29, 2017 to Mar 28, 2018
Charity clients · unset to 11.0
Mar 29, 2017 to Mar 28, 2018
Corporate clients · unset to 1.0
Mar 29, 2017 to Mar 28, 2018
HNW clients · unset to 19.0
Mar 29, 2017 to Mar 28, 2018
Individual clients · unset to 0.0
Mar 29, 2017 to Mar 28, 2018
Pension plan clients · unset to 2.0
Mar 29, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 2.0
Mar 29, 2017 to Mar 28, 2018
Employees · 8 to 10
Mar 29, 2017 to Mar 28, 2018
Financial planning clients · unset to 0
Mar 29, 2017 to Mar 28, 2018
State-registered IARs · 1 to 2
Mar 29, 2017 to Mar 28, 2018
Other offices · unset to 1.0
Mar 29, 2017 to Mar 28, 2018
Discretionary RAUM · $1.2B to $1.3B
Mar 29, 2017 to Mar 28, 2018
HNW RAUM · unset to 82259266.0
Mar 29, 2017 to Mar 28, 2018
Individual RAUM · unset to 0.0
Mar 29, 2017 to Mar 28, 2018
Pension RAUM · unset to 22689895.0
Mar 29, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 64312063.0
Mar 29, 2017 to Mar 28, 2018
RAUM · $1.2B to $1.3B
Mar 29, 2017 to Mar 28, 2018
Accounts · 47 to 43
May 2, 2016 to Mar 29, 2017
Advisory employees · 5 to 4
May 2, 2016 to Mar 29, 2017
Advisory activities · 4 to 5
May 2, 2016 to Mar 29, 2017
State-registered IARs · 0 to 1
May 2, 2016 to Mar 29, 2017
Discretionary RAUM · $1.1B to $1.2B
May 2, 2016 to Mar 29, 2017
RAUM · $1.1B to $1.2B
May 2, 2016 to Mar 29, 2017
Discretionary RAUM · $1.6B to $1.1B
Sep 4, 2015 to Mar 28, 2016
RAUM · $1.6B to $1.1B
Sep 4, 2015 to Mar 28, 2016
Accounts · 45 to 47
Jul 1, 2014 to Mar 27, 2015
BD registered reps · 0 to 1
Jul 1, 2014 to Mar 27, 2015
Discretionary RAUM · $1.4B to $1.6B
Jul 1, 2014 to Mar 27, 2015
RAUM · $1.4B to $1.6B
Jul 1, 2014 to Mar 27, 2015
Accounts · 42 to 45
Sep 10, 2013 to Mar 28, 2014
Advisory employees · 4 to 5
Sep 10, 2013 to Mar 28, 2014
Employees · 7 to 8
Sep 10, 2013 to Mar 28, 2014
Discretionary RAUM · $1.1B to $1.4B
Sep 10, 2013 to Mar 28, 2014
RAUM · $1.1B to $1.4B
Sep 10, 2013 to Mar 28, 2014
HQ city · CLIFTON PARK to MALTA
Apr 1, 2013 to Sep 10, 2013
Accounts · 36 to 42
Nov 27, 2012 to Apr 1, 2013
Advisory employees · 5 to 4
Nov 27, 2012 to Apr 1, 2013
Financial planning clients · 0 to unset
Nov 27, 2012 to Apr 1, 2013

Signals

3 dated events

••• Locked
Nov 26, 2021 · Control person left · inference
••• Locked
Mar 30, 2020 · RAUM change · derived
••• Locked
Mar 28, 2019 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

5 earlier addresses on Form ADV filings, the earliest seen Sep 10, 2013

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026