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C•• W••••• M••••••••• L••

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

Former SEC-registered adviser, based in Deer Park, New York, reporting $430M of regulatory assets.

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

Last reported RAUM
$430M
Form ADV
RAUM change, last fiscal year
+14%
Form ADV, consecutive annual filings
Private clients
71% of RAUM, $307M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere 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. Last change: 12 Jun 2020, RAUM $377M to $430M (+13.9%) on the Form ADV filed 12 Jun 2020, while advisors on the filing rose 2 to 4.

Every filed figure, and the identifiersCRD 154712 · SEC 801-77160 · 44 filingsShow
CRD 154712SEC 801-77160First filing on the tape Sep 12, 2012, latest Jun 12, 2020IAPD
RAUM
$430M
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
71%
$307M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Sep 12, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$430M as of Mar 31, 2020
Feb 26, 2013$127M then
HNW client RAUM$273M as of Mar 31, 2020
Mar 14, 2018$258M then
State-registered IARs (5.B.3)4 as of Mar 31, 2020
Feb 26, 20132 then
Employees (5.A)8 as of Mar 31, 2020
Feb 26, 20136 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Jun 12, 2020; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$818,103derivedRAUM over accounts (5.F.2.f)
Discretionary
41%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.8%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • an independent public accountant performs a surprise examination (9.C.1)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

64% high-net-worth individuals, 16% corporations and businesses, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • High-net-worth individuals$273M64%
  • Corporations and businesses$69.9M16%
  • Individuals$33.6M7.8%
  • Pension and profit-sharing plans$30.2M7.0%
  • Charitable organizations$22.6M5.3%
Individual clients
48reported
HNW clients
128reported
Pension plan clients
1reported
Charitable clients
3reported
Accounts
525reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery 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
      • A••••••••• P••••• S••••• · Managing Directorcontrol
        since 08/2010 · owns 25% to 50%
      • M••••••• C••••••• J••••• · Ceocontrol
        since 08/2010 · owns 50% to 75%
      • S•••••• S••••• N•• · Cco
        since 10/2019 · owns less than 5%
      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 · 499 to 525
        Jan 17, 2020 to Mar 31, 2020
      • HNW clients · 125 to 128
        Jan 17, 2020 to Mar 31, 2020
      • Individual clients · 43 to 48
        Jan 17, 2020 to Mar 31, 2020
      • Discretionary RAUM · $154M to $174M
        Jan 17, 2020 to Mar 31, 2020
      • HNW RAUM · $227M to $273M
        Jan 17, 2020 to Mar 31, 2020
      Full history · 80 changes
      • Individual RAUM · $29.8M to $33.6M
        Jan 17, 2020 to Mar 31, 2020
      • Non-discretionary RAUM · $223M to $255M
        Jan 17, 2020 to Mar 31, 2020
      • Pension RAUM · $27.5M to $30.2M
        Jan 17, 2020 to Mar 31, 2020
      • RAUM · $377M to $430M
        Jan 17, 2020 to Mar 31, 2020
      • Business name · C•• F••••• M••••••••• I••• to C•• W••••• M••••••••• L••
        May 13, 2019 to Oct 31, 2019
      • Legal name · C•• F••••• M••••••••• I••• to C•• W••••• M••••••••• L••
        May 13, 2019 to Oct 31, 2019
      • Succession · true to false
        May 13, 2019 to Oct 31, 2019
      • Business name · C•• W••••• M••••••••• L•• to C•• F••••• M••••••••• I•••
        Apr 5, 2019 to May 13, 2019
      • Employees · 9 to 8
        Apr 5, 2019 to May 13, 2019
      • Legal name · C•• W••••• M••••••••• L•• to C•• F••••• M••••••••• I•••
        Apr 5, 2019 to May 13, 2019
      • Organization form · Corporation to Limited Liability Company
        Apr 5, 2019 to May 13, 2019
      • Succession · false to true
        Apr 5, 2019 to May 13, 2019
      • Business name · C•• F••••• M••••••••• I••• to C•• W••••• M••••••••• L••
        Mar 26, 2019 to Apr 5, 2019
      • Legal name · C•• F••••• M••••••••• I••• to C•• W••••• M••••••••• L••
        Mar 26, 2019 to Apr 5, 2019
      • Advisory employees · 2 to 3
        Mar 16, 2019 to Mar 22, 2019
      • Employees · 7 to 8
        Mar 16, 2019 to Mar 22, 2019
      • State-registered IARs · 2 to 3
        Mar 16, 2019 to Mar 22, 2019
      • Advisory employees · 3 to 4
        Mar 22, 2019 to Mar 22, 2019
      • Employees · 8 to 9
        Mar 22, 2019 to Mar 22, 2019
      • State-registered IARs · 3 to 4
        Mar 22, 2019 to Mar 22, 2019
      • Accounts · 466 to 499
        Dec 13, 2018 to Mar 16, 2019
      • Charity clients · 2 to 3
        Dec 13, 2018 to Mar 16, 2019
      • Corporate clients · 10 to 12
        Dec 13, 2018 to Mar 16, 2019
      • HNW clients · 120 to 125
        Dec 13, 2018 to Mar 16, 2019
      • Individual clients · 39 to 43
        Dec 13, 2018 to Mar 16, 2019
      • Discretionary RAUM · $152M to $154M
        Dec 13, 2018 to Mar 16, 2019
      • HNW RAUM · $258M to $227M
        Dec 13, 2018 to Mar 16, 2019
      • Individual RAUM · $12.1M to $29.8M
        Dec 13, 2018 to Mar 16, 2019
      • Non-discretionary RAUM · $255M to $223M
        Dec 13, 2018 to Mar 16, 2019
      • Pension RAUM · $31.8M to $27.5M
        Dec 13, 2018 to Mar 16, 2019
      • RAUM · $407M to $377M
        Dec 13, 2018 to Mar 16, 2019
      • Employees · 6 to 7
        Nov 5, 2018 to Dec 6, 2018
      • Related broker-dealer · true to false
        Nov 5, 2018 to Dec 6, 2018
      • Employees · 5 to 6
        Jun 27, 2018 to Jul 9, 2018
      • Accounts · 407 to 466
        Apr 17, 2017 to Mar 14, 2018
      • Charity clients · unset to 2.0
        Apr 17, 2017 to Mar 14, 2018
      • Corporate clients · unset to 10.0
        Apr 17, 2017 to Mar 14, 2018
      • HNW clients · unset to 120.0
        Apr 17, 2017 to Mar 14, 2018
      • Individual clients · unset to 39.0
        Apr 17, 2017 to Mar 14, 2018
      • Pension plan clients · unset to 1.0
        Apr 17, 2017 to Mar 14, 2018
      • Pooled vehicle clients · unset to 0.0
        Apr 17, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Apr 17, 2017 to Mar 14, 2018
      • Discretionary RAUM · $87.0M to $152M
        Apr 17, 2017 to Mar 14, 2018
      • HNW RAUM · unset to 258098376.0
        Apr 17, 2017 to Mar 14, 2018
      • Individual RAUM · unset to 12101482.0
        Apr 17, 2017 to Mar 14, 2018
      • Non-discretionary RAUM · $229M to $255M
        Apr 17, 2017 to Mar 14, 2018
      • Pension RAUM · unset to 31795947.0
        Apr 17, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Apr 17, 2017 to Mar 14, 2018
      • RAUM · $316M to $407M
        Apr 17, 2017 to Mar 14, 2018
      • Accounts · 370 to 407
        Jan 31, 2017 to Mar 27, 2017
      • Discretionary RAUM · $57.2M to $87.0M
        Jan 31, 2017 to Mar 27, 2017
      • Non-discretionary RAUM · $191M to $229M
        Jan 31, 2017 to Mar 27, 2017
      • RAUM · $248M to $316M
        Jan 31, 2017 to Mar 27, 2017
      • Accounts · 339 to 370
        Aug 19, 2015 to Mar 28, 2016
      • Discretionary RAUM · $58.7M to $57.2M
        Aug 19, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $180M to $191M
        Aug 19, 2015 to Mar 28, 2016
      • RAUM · $239M to $248M
        Aug 19, 2015 to Mar 28, 2016
      • Advisory activities · 3 to 2
        Feb 20, 2015 to Feb 25, 2015
      • Advisory activities · 2 to 4
        Feb 25, 2015 to Feb 25, 2015
      • Financial planning clients · unset to 101-250
        Feb 25, 2015 to Feb 25, 2015
      • Employees · 6 to 5
        Feb 7, 2015 to Feb 20, 2015
      • Accounts · 293 to 339
        Jun 10, 2014 to Feb 7, 2015
      • Discretionary RAUM · $0 to $58.7M
        Jun 10, 2014 to Feb 7, 2015
      • Non-discretionary RAUM · $200M to $180M
        Jun 10, 2014 to Feb 7, 2015
      • RAUM · $200M to $239M
        Jun 10, 2014 to Feb 7, 2015
      • Accounts · 170 to 293
        Feb 26, 2013 to Mar 18, 2014
      • Non-discretionary RAUM · $127M to $200M
        Feb 26, 2013 to Mar 18, 2014
      • RAUM · $127M to $200M
        Feb 26, 2013 to Mar 18, 2014
      • Accounts · 128 to 170
        Sep 12, 2012 to Feb 26, 2013
      • Advisory employees · unset to 2.0
        Sep 12, 2012 to Feb 26, 2013
      • BD registered reps · unset to 2.0
        Sep 12, 2012 to Feb 26, 2013
      • Employees · unset to 6.0
        Sep 12, 2012 to Feb 26, 2013
      • HQ city · MELVILLE to DEER PARK
        Sep 12, 2012 to Feb 26, 2013
      • State-registered IARs · 0 to 2
        Sep 12, 2012 to Feb 26, 2013
      • Non-discretionary RAUM · $72.5M to $127M
        Sep 12, 2012 to Feb 26, 2013
      Signals
      3 dated events
      • ••• Locked
        Oct 31, 2019 · Control person left · inference
      • ••• Locked
        May 13, 2019 · Succession (Item 4) · fact
      • ••• Locked
        Sep 12, 2012 · 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
      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