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Former SEC-registered adviser

W••• C•••••• M••••••••• I•••

Former SEC-registered adviserCRD 166139SEC 801-77441IAPD
Latest filing Nov 28, 2023
First filing on the tape Nov 30, 2012 · 14 filings
RAUM
$26.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$23.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$26.4M as of Nov 28, 2023
Jan 30, 2014$197M then
HNW client RAUM$23.4M as of Nov 28, 2023
Nov 23, 2017$33.6M then
State-registered IARs (5.B.3)0 as of Nov 28, 2023
Jan 30, 20140 then
Employees (5.A)6 as of Nov 28, 2023
Jan 30, 20145 then
Private funds: no history
RAUM -1.4% over the last fiscal year+5.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 28, 2023; 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
$615,109derivedHNW RAUM over HNW clients
Average account
$371,509derivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.4%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$23.4M89%
  • Corporations and businesses$3.0M11%
Individual clients
n/areported
HNW clients
38reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
71reported
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
      • W••••••• G••••• D•••••• · Data Analyst / Bookkeepercontrol
        since 11/2000 · owns 10% to 25%
      • W••••••• S•••••• J••••• · President & Chief Compliance Officercontrol
        since 11/2000 · 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 · 72 to 71
        Dec 15, 2022 to Nov 28, 2023
      • Advisory employees · 2 to 3
        Dec 15, 2022 to Nov 28, 2023
      • HNW clients · 39 to 38
        Dec 15, 2022 to Nov 28, 2023
      • Discretionary RAUM · $26.7M to $26.4M
        Dec 15, 2022 to Nov 28, 2023
      • HNW RAUM · $22.8M to $23.4M
        Dec 15, 2022 to Nov 28, 2023
      • RAUM · $26.7M to $26.4M
        Dec 15, 2022 to Nov 28, 2023
      • Accounts · 80 to 72
        Jan 5, 2022 to Dec 15, 2022
      • HNW clients · 38 to 39
        Jan 5, 2022 to Dec 15, 2022
      • Employees · 4 to 6
        Jan 5, 2022 to Dec 15, 2022
      • Discretionary RAUM · $27.2M to $26.7M
        Jan 5, 2022 to Dec 15, 2022
      • HNW RAUM · $23.9M to $22.8M
        Jan 5, 2022 to Dec 15, 2022
      • RAUM · $27.2M to $26.7M
        Jan 5, 2022 to Dec 15, 2022
      • Accounts · 79 to 80
        Dec 1, 2020 to Jan 5, 2022
      • Advisory activities · 3 to 2
        Dec 1, 2020 to Jan 5, 2022
      • HNW clients · 35 to 38
        Dec 1, 2020 to Jan 5, 2022
      • HQ city · TORONTO to unset
        Dec 1, 2020 to Jan 5, 2022
      • Discretionary RAUM · $22.6M to $27.2M
        Dec 1, 2020 to Jan 5, 2022
      • HNW RAUM · $20.1M to $23.9M
        Dec 1, 2020 to Jan 5, 2022
      • RAUM · $22.6M to $27.2M
        Dec 1, 2020 to Jan 5, 2022
      • Accounts · 75 to 79
        Jun 25, 2020 to Dec 1, 2020
      • Corporate clients · 6 to 5
        Jun 25, 2020 to Dec 1, 2020
      • HNW clients · 39 to 35
        Jun 25, 2020 to Dec 1, 2020
      • Discretionary RAUM · $18.2M to $22.6M
        Jun 25, 2020 to Dec 1, 2020
      • HNW RAUM · $17.0M to $20.1M
        Jun 25, 2020 to Dec 1, 2020
      • RAUM · $18.2M to $22.6M
        Jun 25, 2020 to Dec 1, 2020
      • Accounts · 86 to 75
        Dec 10, 2019 to Jun 25, 2020
      • HNW clients · 43 to 39
        Dec 10, 2019 to Jun 25, 2020
      • Discretionary RAUM · $22.1M to $18.2M
        Dec 10, 2019 to Jun 25, 2020
      • HNW RAUM · $20.5M to $17.0M
        Dec 10, 2019 to Jun 25, 2020
      • RAUM · $22.1M to $18.2M
        Dec 10, 2019 to Jun 25, 2020
      • Accounts · 108 to 86
        Dec 7, 2018 to Dec 10, 2019
      • Advisory employees · 3 to 2
        Dec 7, 2018 to Dec 10, 2019
      • HNW clients · 54 to 43
        Dec 7, 2018 to Dec 10, 2019
      • Discretionary RAUM · $29.9M to $22.1M
        Dec 7, 2018 to Dec 10, 2019
      • HNW RAUM · $27.3M to $20.5M
        Dec 7, 2018 to Dec 10, 2019
      • RAUM · $29.9M to $22.1M
        Dec 7, 2018 to Dec 10, 2019
      • Accounts · 82 to 108
        Nov 23, 2017 to Dec 7, 2018
      • HNW clients · 53 to 54
        Nov 23, 2017 to Dec 7, 2018
      • Discretionary RAUM · $36.7M to $29.9M
        Nov 23, 2017 to Dec 7, 2018
      • HNW RAUM · $33.6M to $27.3M
        Nov 23, 2017 to Dec 7, 2018
      Signals
      1 dated events
      • W••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        Nov 30, 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