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SEC-registered adviser

A•••••• W••••• M•••••••••

Independent wealth managerSmithtown, New YorkCRD 165504SEC 801-77175website IAPD

Legal name A•••••• W••••• M••••••••• I•••

Latest filing Mar 5, 2026

First filing on the tape Sep 14, 2012 · 28 filings

SEC status approved since Sep 25, 2012

RAUM

$384M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

100%

$384M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$128M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

28 filings and snapshots on the tape

RAUM$384M as of Mar 5, 2026

Mar 28, 2013$31.7M then

HNW client RAUM$323M as of Mar 5, 2026

Mar 28, 2018$98.8M then

State-registered IARs (5.B.3)3 as of Mar 5, 2026

Mar 28, 20130 then

Employees (5.A)6 as of Mar 5, 2026

Mar 28, 20135 then

Private funds: no history

RAUM +24% over the last fiscal year+21% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Mar 5, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $128MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 92derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.9MderivedHNW RAUM over HNW clients
Average account: $415,146derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +24%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.0%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody: $47.9M, 37 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$323M84%
Individuals$60.6M16%

Individual clients: 162reported
HNW clients: 113reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 924reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $47.9M for 37 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A•••••• M•••• V••••••Certified Financial Planner	Smithtown, Ny	Jul 15, 2021	20 y	0
W••••• F•••• W•••••••••Certified Financial Planner	Smithtown, Ny	Aug 4, 2021	43 y	1
K•••• A•• L••••Certified Financial Planner	Smithtown, Ny	Mar 20, 2023	14 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

W••••• F•••• W••••••••• from P•••••• C•••••• M•••••••••
Aug 4, 2021 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

V••••••• A••••••• M•••• · Ceo, Senior Wealth Advisor, Chief Compliance Officercontrol
since 01/2014 · owns 50% to 75%
W••••••••• W•••••• F•••• · President And Senior Wealth Advisorcontrol
since 09/2012 · owns 25% to 50%

Related persons

Schedule D 7.A

No related person reported.

Advisers that list A•••••• W••••• M••••••••• as a related person

107486 n

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Smithtown, Ny · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 898 to 924
Mar 10, 2025 to Mar 5, 2026
HNW clients · 94 to 113
Mar 10, 2025 to Mar 5, 2026
Individual clients · 168 to 162
Mar 10, 2025 to Mar 5, 2026
Assets in custody · $46.5M to $47.9M
Mar 10, 2025 to Mar 5, 2026
Discretionary RAUM · $305M to $378M
Mar 10, 2025 to Mar 5, 2026
HNW RAUM · $239M to $323M
Mar 10, 2025 to Mar 5, 2026
Individual RAUM · $66.1M to $60.6M
Mar 10, 2025 to Mar 5, 2026
Non-discretionary RAUM · $4.3M to $5.2M
Mar 10, 2025 to Mar 5, 2026
Pension RAUM · 4309315.0 to unset
Mar 10, 2025 to Mar 5, 2026
RAUM · $309M to $384M
Mar 10, 2025 to Mar 5, 2026
Accounts · 856 to 898
Feb 22, 2024 to Mar 10, 2025
HNW clients · 75 to 94
Feb 22, 2024 to Mar 10, 2025
Individual clients · 185 to 168
Feb 22, 2024 to Mar 10, 2025
Pension plan clients · 5.0 to unset
Feb 22, 2024 to Mar 10, 2025
Assets in custody · $34.9M to $46.5M
Feb 22, 2024 to Mar 10, 2025
Financial planning clients · 101-250 to 101-250
Feb 22, 2024 to Mar 10, 2025
Discretionary RAUM · $252M to $305M
Feb 22, 2024 to Mar 10, 2025
HNW RAUM · $186M to $239M
Feb 22, 2024 to Mar 10, 2025
Individual RAUM · $64.4M to $66.1M
Feb 22, 2024 to Mar 10, 2025
Non-discretionary RAUM · $3.1M to $4.3M
Feb 22, 2024 to Mar 10, 2025
Pension RAUM · $5.3M to $4.3M
Feb 22, 2024 to Mar 10, 2025
RAUM · $256M to $309M
Feb 22, 2024 to Mar 10, 2025
HNW clients · 67 to 75
Mar 24, 2023 to Feb 22, 2024
Individual clients · 197 to 185
Mar 24, 2023 to Feb 22, 2024
Pension plan clients · 6 to 5
Mar 24, 2023 to Feb 22, 2024
Assets in custody · $33.9M to $34.9M
Mar 24, 2023 to Feb 22, 2024
State-registered IARs · 2 to 3
Mar 24, 2023 to Feb 22, 2024
Discretionary RAUM · $216M to $252M
Mar 24, 2023 to Feb 22, 2024
HNW RAUM · $152M to $186M
Mar 24, 2023 to Feb 22, 2024
Individual RAUM · $61.9M to $64.4M
Mar 24, 2023 to Feb 22, 2024
Non-discretionary RAUM · $3.2M to $3.1M
Mar 24, 2023 to Feb 22, 2024
Pension RAUM · $5.3M to $5.3M
Mar 24, 2023 to Feb 22, 2024
RAUM · $219M to $256M
Mar 24, 2023 to Feb 22, 2024
Accounts · 804 to 856
Oct 21, 2022 to Mar 9, 2023
Advisory employees · 2 to 3
Oct 21, 2022 to Mar 9, 2023
HNW clients · 75 to 67
Oct 21, 2022 to Mar 9, 2023
Individual clients · 171 to 197
Oct 21, 2022 to Mar 9, 2023
Pension plan clients · unset to 6.0
Oct 21, 2022 to Mar 9, 2023
Assets in custody · $44.0M to $33.9M
Oct 21, 2022 to Mar 9, 2023
Employees · 5 to 6
Oct 21, 2022 to Mar 9, 2023

Signals

2 dated events

J••• S••• S••••••••• (Chief Operating Officer) no longer on Schedule A of A•••••• W••••• M••••••••• (listed 2018-03-28, absent 2019-03-21)
Mar 21, 2019 · Control person left · inference
A•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
Sep 14, 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.

How to reach

public business contact points only, each with its source

Business phone: 631-549-5400reportedpublished by the firm, firm site, Sep 15, 2026
Website: A••••••WM.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 631-549-5400reportedpublic record, Form ADV, Mar 5, 2026

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: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $128Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026