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Former SEC-registered adviser

W•••••••• I••••••••• L••

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 164789SEC 801-80954IAPD
Latest filing Mar 16, 2017
First filing on the tape Aug 17, 2012 · 25 filings
RAUM
$22.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$58.0M as of Mar 25, 2016
Mar 26, 2013$6.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2016
Mar 26, 20131 then
Employees (5.A)1 as of Mar 25, 2016
Mar 26, 20131 then
Private funds: no history
RAUM n/a over the last fiscal year+49% a year over three
Practice profile
derived from the filing of Mar 16, 2017; every figure names its basis
RAUM per advisor
$22.0MderivedRAUM 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
$98,497derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
223reported
Financial planning clients
0reported
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
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
      • D•••• D••••••• M• L••• · Managing Member And Chief Compliance Officercontrol
        since 07/2012 · owns less than 5%
      • D•••• D••••••• M• L••• · President And Ceocontrol
        since 07/2012 · owns 75% or more of W•••••••• C•••••• M••••••••• L••
      Entity owners
      • W•••••••• C•••••• M••••••••• L•• · Holding Company Parent
        direct · 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
      • Advisory activities · 4 to 2
        Feb 14, 2017 to Mar 16, 2017
      • Accounts · 625 to 223
        Mar 25, 2016 to Feb 14, 2017
      • Advisory activities · 3 to 4
        Mar 25, 2016 to Feb 14, 2017
      • Discretionary RAUM · $58.0M to $22.0M
        Mar 25, 2016 to Feb 14, 2017
      • RAUM · $58.0M to $22.0M
        Mar 25, 2016 to Feb 14, 2017
      • Accounts · 3,687 to 625
        Sep 30, 2015 to Mar 25, 2016
      • Discretionary RAUM · $102M to $58.0M
        Sep 30, 2015 to Mar 25, 2016
      • RAUM · $102M to $58.0M
        Sep 30, 2015 to Mar 25, 2016
      • Accounts · 404 to 3,687
        Mar 26, 2013 to Feb 2, 2015
      • HQ city · unset to PITTSBURGH
        Mar 26, 2013 to Feb 2, 2015
      • HQ state · unset to PA
        Mar 26, 2013 to Feb 2, 2015
      • Discretionary RAUM · $6.6M to $102M
        Mar 26, 2013 to Feb 2, 2015
      • RAUM · $6.6M to $102M
        Mar 26, 2013 to Feb 2, 2015
      • Accounts · 0 to 404
        Mar 22, 2013 to Mar 26, 2013
      • Discretionary RAUM · $0 to $6.6M
        Mar 22, 2013 to Mar 26, 2013
      • RAUM · $0 to $6.6M
        Mar 22, 2013 to Mar 26, 2013
      • Advisory activities · 4 to 3
        Mar 4, 2013 to Mar 22, 2013
      • Advisory employees · unset to 1.0
        Oct 22, 2012 to Dec 14, 2012
      • BD registered reps · unset to 0.0
        Oct 22, 2012 to Dec 14, 2012
      • Employees · unset to 1.0
        Oct 22, 2012 to Dec 14, 2012
      • State-registered IARs · unset to 1.0
        Oct 22, 2012 to Dec 14, 2012
      • Financial planning clients · unset to 0
        Aug 17, 2012 to Aug 24, 2012
      Signals
      1 dated events
      • W•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 17, 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
      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