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Former SEC-registered adviser

W••••••• I••••••••• A••••••• L••

Former SEC-registered adviserCRD 165107SEC 801-77090IAPD
Latest filing Feb 24, 2017
First filing on the tape Aug 22, 2012 · 17 filings
RAUM
$10.1M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$10.1M as of Feb 24, 2017
Apr 1, 2013$12.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 24, 2017
Apr 1, 20132 then
Employees (5.A)2 as of Feb 24, 2017
Apr 1, 20132 then
Private funds: 1
RAUM -30% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$10.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween 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 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
  • 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
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
1reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••••• P••••••• L•no longer reportedHedge Fund$12.9M10Aug 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • J••••••••• G••• A••••• · Cco & Managing Membercontrol
        since 01/2011 · owns 50% to 75%
      • S••••••• D••••• F••••••• · Managing Membercontrol
        since 08/2003 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Villanova, PA
      What changed
      consecutive filings, newest first
      • HQ city · ROSEMONT to unset
        Mar 17, 2016 to Feb 24, 2017
      • HQ state · PA to unset
        Mar 17, 2016 to Feb 24, 2017
      • Discretionary RAUM · $14.5M to $10.1M
        Mar 17, 2016 to Feb 24, 2017
      • RAUM · $14.5M to $10.1M
        Mar 17, 2016 to Feb 24, 2017
      • HQ city · ARDMORE to ROSEMONT
        Nov 4, 2015 to Mar 17, 2016
      • Discretionary RAUM · $9.0M to $14.5M
        Nov 4, 2015 to Mar 17, 2016
      • RAUM · $9.0M to $14.5M
        Nov 4, 2015 to Mar 17, 2016
      • Discretionary RAUM · $5.0M to $9.0M
        Mar 18, 2014 to Mar 17, 2015
      • RAUM · $5.0M to $9.0M
        Mar 18, 2014 to Mar 17, 2015
      • Accounts · 2 to 1
        Apr 9, 2013 to Mar 11, 2014
      • Advisory activities · 2 to 1
        Apr 9, 2013 to Mar 11, 2014
      • State-registered IARs · 2 to 0
        Apr 9, 2013 to Mar 11, 2014
      • Private funds · 1 to unset
        Apr 9, 2013 to Mar 11, 2014
      • Discretionary RAUM · $12.1M to $5.0M
        Apr 9, 2013 to Mar 11, 2014
      • RAUM · $12.1M to $5.0M
        Apr 9, 2013 to Mar 11, 2014
      • Advisory employees · unset to 2.0
        Sep 5, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Sep 5, 2012 to Apr 1, 2013
      • Employees · unset to 2.0
        Sep 5, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 2.0
        Sep 5, 2012 to Apr 1, 2013
      • Discretionary RAUM · $15.0M to $12.1M
        Sep 5, 2012 to Apr 1, 2013
      • RAUM · $15.0M to $12.1M
        Sep 5, 2012 to Apr 1, 2013
      Signals
      1 dated events
      • W••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 22, 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