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Former SEC-registered adviser

W•••• C••••••••• I•••

Former SEC-registered adviserRochester, New YorkCRD 157904SEC 801-99347IAPD
Latest filing Mar 17, 2021
First filing on the tape May 27, 2015 · 10 filings
RAUM
$55.1M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$55.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
10 filings and snapshots on the tape
RAUM$55.1M as of Mar 17, 2021
Mar 24, 2016$31.2M then
HNW client RAUM$23.5M as of Mar 17, 2021
Mar 26, 2018$15.3M then
State-registered IARs (5.B.3)0 as of Mar 17, 2021
Mar 24, 20160 then
Employees (5.A)1 as of Mar 17, 2021
Mar 24, 20161 then
Private funds: no history
RAUM +6.1% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$320,061derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-1.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$31.6M57%
  • High-net-worth individuals$23.5M43%
Individual clients
49reported
HNW clients
13reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
172reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••••• D••••• S• · President, Ccocontrol
        since 05/2011 · owns 75% or more
      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 · 167 to 172
        Jun 16, 2020 to Mar 17, 2021
      • HNW clients · 14 to 13
        Jun 16, 2020 to Mar 17, 2021
      • Discretionary RAUM · $49.4M to $52.0M
        Jun 16, 2020 to Mar 17, 2021
      • HNW RAUM · $20.2M to $23.5M
        Jun 16, 2020 to Mar 17, 2021
      • Individual RAUM · $31.7M to $31.6M
        Jun 16, 2020 to Mar 17, 2021
      • Non-discretionary RAUM · $2.5M to $3.0M
        Jun 16, 2020 to Mar 17, 2021
      • RAUM · $51.9M to $55.1M
        Jun 16, 2020 to Mar 17, 2021
      • Accounts · 164 to 167
        Feb 20, 2019 to Mar 26, 2020
      • HNW clients · 16 to 14
        Feb 20, 2019 to Mar 26, 2020
      • Individual clients · 52 to 49
        Feb 20, 2019 to Mar 26, 2020
      • Discretionary RAUM · $44.9M to $49.4M
        Feb 20, 2019 to Mar 26, 2020
      • HNW RAUM · $22.3M to $20.2M
        Feb 20, 2019 to Mar 26, 2020
      • Individual RAUM · $24.6M to $31.7M
        Feb 20, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $2.1M to $2.5M
        Feb 20, 2019 to Mar 26, 2020
      • RAUM · $47.0M to $51.9M
        Feb 20, 2019 to Mar 26, 2020
      • Accounts · 133 to 164
        Sep 25, 2018 to Feb 20, 2019
      • HNW clients · 11 to 16
        Sep 25, 2018 to Feb 20, 2019
      • Discretionary RAUM · $40.0M to $44.9M
        Sep 25, 2018 to Feb 20, 2019
      • HNW RAUM · $15.3M to $22.3M
        Sep 25, 2018 to Feb 20, 2019
      • Individual RAUM · $25.8M to $24.6M
        Sep 25, 2018 to Feb 20, 2019
      • Non-discretionary RAUM · $1.1M to $2.1M
        Sep 25, 2018 to Feb 20, 2019
      • RAUM · $41.1M to $47.0M
        Sep 25, 2018 to Feb 20, 2019
      • Accounts · 93 to 133
        Feb 7, 2017 to Mar 26, 2018
      • Charity clients · unset to 0.0
        Feb 7, 2017 to Mar 26, 2018
      • Corporate clients · unset to 0.0
        Feb 7, 2017 to Mar 26, 2018
      • HNW clients · unset to 11.0
        Feb 7, 2017 to Mar 26, 2018
      • Individual clients · unset to 52.0
        Feb 7, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 0.0
        Feb 7, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 7, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Feb 7, 2017 to Mar 26, 2018
      • Discretionary RAUM · $31.9M to $40.0M
        Feb 7, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 15327198.0
        Feb 7, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 25798152.0
        Feb 7, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $4.0M to $1.1M
        Feb 7, 2017 to Mar 26, 2018
      • RAUM · $35.9M to $41.1M
        Feb 7, 2017 to Mar 26, 2018
      • Accounts · 113 to 93
        Mar 24, 2016 to Feb 7, 2017
      • Discretionary RAUM · $28.1M to $31.9M
        Mar 24, 2016 to Feb 7, 2017
      • Non-discretionary RAUM · $3.1M to $4.0M
        Mar 24, 2016 to Feb 7, 2017
      • RAUM · $31.2M to $35.9M
        Mar 24, 2016 to Feb 7, 2017
      • Accounts · 101 to 113
        Jul 23, 2015 to Mar 24, 2016
      Signals
      1 dated events
      • W•••• C••••••••• I••• filed its initial SEC registration (Form ADV)
        May 27, 2015 · 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