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W•••••• F•••••••• A•••••••
Former SEC-registered adviserFormer SEC adviser
Former SEC-registered adviser, reporting $104M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Last reported RAUM
- $104M
- Advisors
- Not applicable
- Net advisor flow, 12 months
- Not applicable
- RAUM change, last fiscal year
- -12%
- Private clients
- 100% of RAUM, $104M
Form ADV
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record
We hold 23 Form ADV filings for this adviser, the latest 3.5 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 146763 · SEC 801-118203 · 23 filingsShowHide
CRD 146763SEC 801-118203Legal name W•••••• F•••••••• A•••••••• L••First filing on the tape Feb 8, 2012, latest Mar 22, 2023IAPD
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$104M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$104M as of Mar 22, 2023
Feb 8, 2012$92.2M then
HNW client RAUM$56.9M as of Mar 22, 2023
Mar 17, 2021$55.0M then
State-registered IARs (5.B.3)2 as of Mar 22, 2023
Feb 8, 20120 then
Employees (5.A)2 as of Mar 22, 2023
Mar 4, 20133 then
Private funds: no history
RAUM -12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 22, 2023; every figure names its basis
- RAUM per advisor
- $52.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $566,660derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- 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
- High-net-worth individuals$56.9M55%
- Individuals$47.3M45%
- Individual clients
- 161reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 184reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- G••• L••• W•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 7, 2024 · RIA to affiliated broker-dealer or bank
- M••• S••••• W•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 7, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- G••• L••• W•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 6, 2008 · Other
- M••• S••••• W•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 6, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 7, 2024 · North Chesterfield, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• G•••• L••• · Member/Chief Compliance Officercontrolsince 03/2008 · owns 50% to 75%
- W••••••• M•••• S••••• · Membercontrolsince 03/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| North Chesterfield, Va | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 191 to 184Feb 6, 2023 to Mar 22, 2023
- Advisory activities · 2 to 1Feb 6, 2023 to Mar 22, 2023
- HNW clients · 27 to 23Feb 6, 2023 to Mar 22, 2023
- Individual clients · 164 to 161Feb 6, 2023 to Mar 22, 2023
- Discretionary RAUM · $118M to $104MFeb 6, 2023 to Mar 22, 2023
- HNW RAUM · $67.7M to $56.9MFeb 6, 2023 to Mar 22, 2023
- Individual RAUM · $50.7M to $47.3MFeb 6, 2023 to Mar 22, 2023
- RAUM · $118M to $104MFeb 6, 2023 to Mar 22, 2023
- Accounts · 203 to 191Sep 14, 2021 to Mar 12, 2022
- Advisory employees · 3 to 2Sep 14, 2021 to Mar 12, 2022
- BD registered reps · 3 to 2Sep 14, 2021 to Mar 12, 2022
- HNW clients · 23 to 27Sep 14, 2021 to Mar 12, 2022
- Individual clients · 180 to 164Sep 14, 2021 to Mar 12, 2022
- Employees · 3 to 2Sep 14, 2021 to Mar 12, 2022
- State-registered IARs · 3 to 2Sep 14, 2021 to Mar 12, 2022
- Discretionary RAUM · $113M to $118MSep 14, 2021 to Mar 12, 2022
- HNW RAUM · $55.0M to $67.7MSep 14, 2021 to Mar 12, 2022
- Individual RAUM · $58.0M to $50.7MSep 14, 2021 to Mar 12, 2022
- RAUM · $113M to $118MSep 14, 2021 to Mar 12, 2022
- HQ city · VIENNA to unsetJul 6, 2021 to Jul 6, 2021
- HQ state · VA to unsetJul 6, 2021 to Jul 6, 2021
- Accounts · 213 to 203Jun 24, 2020 to Mar 17, 2021
- HNW clients · 22 to 23Jun 24, 2020 to Mar 17, 2021
- Individual clients · 191 to 180Jun 24, 2020 to Mar 17, 2021
- Assets in custody · 92726102.0 to unsetJun 24, 2020 to Mar 17, 2021
- Custody of client assets · true to falseJun 24, 2020 to Mar 17, 2021
- Discretionary RAUM · $105M to $113MJun 24, 2020 to Mar 17, 2021
- HNW RAUM · $49.4M to $55.0MJun 24, 2020 to Mar 17, 2021
- Individual RAUM · $55.3M to $58.0MJun 24, 2020 to Mar 17, 2021
- RAUM · $105M to $113MJun 24, 2020 to Mar 17, 2021
- Accounts · 240 to 213Aug 12, 2016 to Feb 10, 2020
- HNW clients · unset to 22.0Aug 12, 2016 to Feb 10, 2020
- Individual clients · unset to 191.0Aug 12, 2016 to Feb 10, 2020
- Assets in custody · $84.8M to $92.7MAug 12, 2016 to Feb 10, 2020
- Other offices · unset to 0.0Aug 12, 2016 to Feb 10, 2020
- Discretionary RAUM · $84.8M to $105MAug 12, 2016 to Feb 10, 2020
- HNW RAUM · unset to 49368484.0Aug 12, 2016 to Feb 10, 2020
- Individual RAUM · unset to 55261496.0Aug 12, 2016 to Feb 10, 2020
- RAUM · $84.8M to $105MAug 12, 2016 to Feb 10, 2020
- Assets in custody · unset to 84844392.0Jul 6, 2016 to Jul 26, 2016
Signals
4 dated events
- ••• LockedMar 7, 2024 · Advisor changed firm · fact
- ••• LockedMar 7, 2024 · Advisor changed firm · fact
- ••• LockedMar 7, 2024 · Team lift-out · derived
- ••• LockedFeb 10, 2020 · First SEC registration · 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