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Former SEC-registered adviser

B•••••••••

Former SEC-registered adviserNew York, New YorkCRD 166284SEC 801-77439IAPD
Legal name B•••••••• W••••• L••
Latest filing May 15, 2013
First filing on the tape Nov 30, 2012 · 2 filings
RAUM
$221M
reported, Item 5.F
Discretionary
0.0%
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
45
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM: $221M
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 15, 2013
Nov 30, 20121 then
Employees (5.A)45 as of May 15, 2013
Nov 30, 201233 then
Private funds: no history
Practice profile
derived from the filing of May 15, 2013; every figure names its basis
RAUM per advisor
$221MderivedRAUM 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
$586,831derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
45.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 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
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, publications, educational seminarsreportedItem 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)
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
376reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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••••••••• R••••••• K•••••• · Secretarycontrol
        since 11/2011 · owns less than 5%
      • H••••• B••••• G••••• · Vice Presidentcontrol
        since 11/2010 · owns less than 5%
      • K••••••••• N••••• L••• · Chief Compliance Officercontrol
        since 11/2010 · owns less than 5%
      • M•••••• J•••• D••••• · Presidentcontrol
        since 11/2010 · owns less than 5%
      • B••••••••• M••••••• R••••• · Trusteecontrol
        since 04/2009 · owns F of T•• M•••••• R• B•••••••• B• R•••••••• T••••
      Entity owners
      • B•••••••• L••• · Member
        direct · owns 75% or more
      • B•••••••• I••• · Partner
        indirect · owns 75% or more of B•••••••• L•••
      • T•• M•••••• R• B•••••••• B• R•••••••• T•••• · Shareholder
        indirect · owns 75% or more of B•••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Skillman, NJ
      What changed
      consecutive filings, newest first
      • Accounts · unset to 376.0
        Nov 30, 2012 to May 15, 2013
      • Advisory employees · 9 to 11
        Nov 30, 2012 to May 15, 2013
      • Business name · B•••••••• W••••• L•• to B•••••••••
        Nov 30, 2012 to May 15, 2013
      • Employees · 33 to 45
        Nov 30, 2012 to May 15, 2013
      • Discretionary RAUM · unset to 0.0
        Nov 30, 2012 to May 15, 2013
      • Non-discretionary RAUM · unset to 220648327.0
        Nov 30, 2012 to May 15, 2013
      • RAUM · unset to 220648327.0
        Nov 30, 2012 to May 15, 2013
      Signals
      1 dated events
      • B•••••••• W••••• L•• 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