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Former SEC-registered adviser

W••••••• A•••• M••••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 166200SEC 801-120857IAPD
Latest filing Mar 12, 2024
First filing on the tape Mar 19, 2021 · 11 filings
RAUM
$141M
reported, Item 5.F
Discretionary
6.9%
of RAUM
Private clients
71%
$99.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$9.7M gross assets
History
11 filings and snapshots on the tape
RAUM$141M as of Mar 12, 2024
Mar 21, 2022$130M then
HNW client RAUM$104M as of Mar 20, 2023
Mar 21, 2022$108M then
State-registered IARs (5.B.3)1 as of Mar 12, 2024
Mar 21, 20221 then
Employees (5.A)2 as of Mar 12, 2024
Mar 21, 20223 then
Private funds2 as of Mar 12, 2024
Mar 21, 20221 then
RAUM +4.5% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2024; every figure names its basis
RAUM per advisor
$141MderivedRAUM 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
$20.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
6.9%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$99.8M71%
  • Corporations and businesses$31.7M22%
  • Pooled investment vehicles$9.7M6.9%
Individual clients
4reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• G••••• S•• G••••• D•••••• B••••••• P••••••••Other Private Fund$7.5M1Oct 5, 2023
      W••••••• A••••••• R••••• F••• L••Hedge Fund$2.2M6Mar 19, 2021
      Owners and control persons
      Schedule A and B, latest filing
      • D• C••••• A••••• A•••••• · Chief Compliance Officer And Chief Operating Officercontrol
        since 10/2012 · owns less than 5%
      • P•••••••• J•••• J••• · Principalcontrol
        since 10/2012 · 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 · 5 to 7
        Jan 29, 2024 to Mar 12, 2024
      • Corporate clients · 3 to 1
        Jan 29, 2024 to Mar 12, 2024
      • Individual clients · unset to 4.0
        Jan 29, 2024 to Mar 12, 2024
      • Discretionary RAUM · $8.6M to $9.7M
        Jan 29, 2024 to Mar 12, 2024
      • Individual RAUM · unset to 99805481.0
        Jan 29, 2024 to Mar 12, 2024
      • Non-discretionary RAUM · $113M to $132M
        Jan 29, 2024 to Mar 12, 2024
      • Pooled vehicle RAUM · $8.6M to $9.7M
        Jan 29, 2024 to Mar 12, 2024
      • RAUM · $121M to $141M
        Jan 29, 2024 to Mar 12, 2024
      • Corporate clients · 1 to 3
        Mar 20, 2023 to Oct 5, 2023
      • HNW clients · 2.0 to unset
        Mar 20, 2023 to Oct 5, 2023
      • Private funds · 1 to 2
        Mar 20, 2023 to Oct 5, 2023
      • Discretionary RAUM · $14.3M to $8.6M
        Mar 20, 2023 to Oct 5, 2023
      • HNW RAUM · 103882235.0 to unset
        Mar 20, 2023 to Oct 5, 2023
      • Non-discretionary RAUM · $121M to $113M
        Mar 20, 2023 to Oct 5, 2023
      • Pooled vehicle RAUM · $14.3M to $8.6M
        Mar 20, 2023 to Oct 5, 2023
      • RAUM · $135M to $121M
        Mar 20, 2023 to Oct 5, 2023
      • Accounts · 4 to 5
        Oct 25, 2022 to Mar 20, 2023
      • Pooled vehicle clients · 1 to 2
        Oct 25, 2022 to Mar 20, 2023
      • Employees · 3 to 2
        Oct 25, 2022 to Mar 20, 2023
      • Discretionary RAUM · $21.7M to $14.3M
        Oct 25, 2022 to Mar 20, 2023
      • HNW RAUM · $108M to $104M
        Oct 25, 2022 to Mar 20, 2023
      • Non-discretionary RAUM · $108M to $121M
        Oct 25, 2022 to Mar 20, 2023
      • Pooled vehicle RAUM · $8.3M to $14.3M
        Oct 25, 2022 to Mar 20, 2023
      • RAUM · $130M to $135M
        Oct 25, 2022 to Mar 20, 2023
      • Assets in custody · 8300000.0 to unset
        Mar 21, 2022 to Oct 25, 2022
      • Custody of client assets · true to false
        Mar 21, 2022 to Oct 25, 2022
      • Assets in custody · $6.8M to $8.3M
        Apr 7, 2021 to Mar 21, 2022
      • Discretionary RAUM · $18.2M to $21.7M
        Apr 7, 2021 to Mar 21, 2022
      • HNW RAUM · $102M to $108M
        Apr 7, 2021 to Mar 21, 2022
      • Non-discretionary RAUM · $102M to $108M
        Apr 7, 2021 to Mar 21, 2022
      • Pooled vehicle RAUM · $6.8M to $8.3M
        Apr 7, 2021 to Mar 21, 2022
      • RAUM · $121M to $130M
        Apr 7, 2021 to Mar 21, 2022
      Signals
      1 dated events
      • W••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 19, 2021 · 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