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Independent wealth managerSEC-registered

Independent wealth manager, reporting $231M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$231M
Form ADV
Advisors
0
IAPD
Private clients
84%
of RAUM, $193M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 169332 · SEC 801-79090 · 16 filingsShow
CRD 169332SEC 801-79090First filing on the tape Jan 11, 2014, latest Mar 30, 2026SEC status approved since Jan 24, 2014IAPD
RAUM
$231M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
84%
$193M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape

RAUM +20% a year over three years · the tape starts Jan 11, 2014

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$231M as of Mar 30, 2026
Mar 31, 2015$103M then
HNW client RAUM$169M as of Mar 30, 2026
Mar 30, 2018$70.7M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20150 then
Employees (5.A)1 as of Mar 30, 2026
Mar 31, 20152 then
Private funds: no history
RAUM n/a over the last fiscal year+20% a year over three
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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
$11.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office 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
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing

73% high-net-worth individuals, 11% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • High-net-worth individuals$169M73%
  • Individuals$24.6M11%
  • Charitable organizations$18.4M7.9%
  • Pension and profit-sharing plans$15.4M6.7%
  • Corporations and businesses$4.0M1.7%
Individual clients
11reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 84% private clients, 0% pooled funds, 15% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• B••••• W•••••• · Ceo/Ccocontrol
        since 12/2013 · 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 · 22 to 21
        May 2, 2025 to Mar 30, 2026
      • Individual clients · 12 to 11
        May 2, 2025 to Mar 30, 2026
      • Discretionary RAUM · $192M to $216M
        May 2, 2025 to Mar 30, 2026
      • HNW RAUM · $162M to $169M
        May 2, 2025 to Mar 30, 2026
      • Individual RAUM · $26.6M to $24.6M
        May 2, 2025 to Mar 30, 2026
      Full history · 80 changes
      • Non-discretionary RAUM · $14.7M to $15.4M
        May 2, 2025 to Mar 30, 2026
      • Pension RAUM · $14.7M to $15.4M
        May 2, 2025 to Mar 30, 2026
      • RAUM · $207M to $231M
        May 2, 2025 to Mar 30, 2026
      • Accounts · 18 to 22
        Mar 29, 2024 to May 2, 2025
      • Financial planning clients · unset to
        Mar 29, 2024 to May 2, 2025
      • HQ city · unset to
        Mar 29, 2024 to May 2, 2025
      • HQ state · unset to
        Mar 29, 2024 to May 2, 2025
      • Discretionary RAUM · $151M to $192M
        Mar 29, 2024 to May 2, 2025
      • HNW RAUM · $122M to $162M
        Mar 29, 2024 to May 2, 2025
      • Individual RAUM · $25.2M to $26.6M
        Mar 29, 2024 to May 2, 2025
      • Non-discretionary RAUM · $13.8M to $14.7M
        Mar 29, 2024 to May 2, 2025
      • Pension RAUM · $13.8M to $14.7M
        Mar 29, 2024 to May 2, 2025
      • RAUM · $165M to $207M
        Mar 29, 2024 to May 2, 2025
      • Accounts · 23 to 18
        Mar 31, 2023 to Mar 29, 2024
      • HNW clients · 6.0 to unset
        Mar 31, 2023 to Mar 29, 2024
      • Individual clients · 7 to 12
        Mar 31, 2023 to Mar 29, 2024
      • Pension plan clients · 7.0 to unset
        Mar 31, 2023 to Mar 29, 2024
      • Discretionary RAUM · $119M to $151M
        Mar 31, 2023 to Mar 29, 2024
      • HNW RAUM · $94.5M to $122M
        Mar 31, 2023 to Mar 29, 2024
      • Individual RAUM · $5.6M to $25.2M
        Mar 31, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $13.1M to $13.8M
        Mar 31, 2023 to Mar 29, 2024
      • Pension RAUM · $29.0M to $13.8M
        Mar 31, 2023 to Mar 29, 2024
      • RAUM · $132M to $165M
        Mar 31, 2023 to Mar 29, 2024
      • Accounts · 19 to 23
        Mar 28, 2022 to Mar 31, 2023
      • HNW clients · unset to 6.0
        Mar 28, 2022 to Mar 31, 2023
      • Individual clients · unset to 7.0
        Mar 28, 2022 to Mar 31, 2023
      • Pension plan clients · unset to 7.0
        Mar 28, 2022 to Mar 31, 2023
      • Discretionary RAUM · $141M to $119M
        Mar 28, 2022 to Mar 31, 2023
      • HNW RAUM · $113M to $94.5M
        Mar 28, 2022 to Mar 31, 2023
      • Individual RAUM · $5.5M to $5.6M
        Mar 28, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $18.2M to $13.1M
        Mar 28, 2022 to Mar 31, 2023
      • Pension RAUM · $35.6M to $29.0M
        Mar 28, 2022 to Mar 31, 2023
      • RAUM · $159M to $132M
        Mar 28, 2022 to Mar 31, 2023
      • Accounts · 21 to 19
        Jul 30, 2021 to Mar 28, 2022
      • Individual clients · 7.0 to unset
        Jul 30, 2021 to Mar 28, 2022
      • Discretionary RAUM · $113M to $141M
        Jul 30, 2021 to Mar 28, 2022
      • HNW RAUM · $101M to $113M
        Jul 30, 2021 to Mar 28, 2022
      • Individual RAUM · $10.9M to $5.5M
        Jul 30, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $17.0M to $18.2M
        Jul 30, 2021 to Mar 28, 2022
      • Pension RAUM · $17.0M to $35.6M
        Jul 30, 2021 to Mar 28, 2022
      • RAUM · $130M to $159M
        Jul 30, 2021 to Mar 28, 2022
      • Accounts · 19 to 21
        Jun 30, 2020 to Jul 30, 2021
      • Individual clients · 8 to 7
        Jun 30, 2020 to Jul 30, 2021
      • Discretionary RAUM · $88.9M to $113M
        Jun 30, 2020 to Jul 30, 2021
      • HNW RAUM · $73.5M to $101M
        Jun 30, 2020 to Jul 30, 2021
      • Individual RAUM · $14.6M to $10.9M
        Jun 30, 2020 to Jul 30, 2021
      • Non-discretionary RAUM · $16.1M to $17.0M
        Jun 30, 2020 to Jul 30, 2021
      • Pension RAUM · $16.1M to $17.0M
        Jun 30, 2020 to Jul 30, 2021
      • RAUM · $105M to $130M
        Jun 30, 2020 to Jul 30, 2021
      • Accounts · 24 to 19
        Apr 30, 2019 to Jun 30, 2020
      • Financial planning clients · 11-25 to unset
        Apr 30, 2019 to Jun 30, 2020
      • Discretionary RAUM · $74.3M to $88.9M
        Apr 30, 2019 to Jun 30, 2020
      • HNW RAUM · $64.4M to $73.5M
        Apr 30, 2019 to Jun 30, 2020
      • Individual RAUM · $9.4M to $14.6M
        Apr 30, 2019 to Jun 30, 2020
      • Non-discretionary RAUM · $13.6M to $16.1M
        Apr 30, 2019 to Jun 30, 2020
      • Pension RAUM · $13.6M to $16.1M
        Apr 30, 2019 to Jun 30, 2020
      • RAUM · $87.9M to $105M
        Apr 30, 2019 to Jun 30, 2020
      • Accounts · 23 to 24
        Jul 11, 2018 to Apr 30, 2019
      • Financial planning clients · unset to 11-25
        Jul 11, 2018 to Apr 30, 2019
      • Discretionary RAUM · $90.0M to $74.3M
        Jul 11, 2018 to Apr 30, 2019
      • HNW RAUM · $70.7M to $64.4M
        Jul 11, 2018 to Apr 30, 2019
      • Individual RAUM · $9.5M to $9.4M
        Jul 11, 2018 to Apr 30, 2019
      • Non-discretionary RAUM · $15.1M to $13.6M
        Jul 11, 2018 to Apr 30, 2019
      • Pension RAUM · $24.4M to $13.6M
        Jul 11, 2018 to Apr 30, 2019
      • RAUM · $105M to $87.9M
        Jul 11, 2018 to Apr 30, 2019
      • Accounts · 20 to 23
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 2 to 1
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 8.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 2 to 1
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $79.6M to $90.0M
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 70679843.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 9544035.0
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $13.6M to $15.1M
        Mar 31, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 24364309.0
        Mar 31, 2017 to Mar 30, 2018
      Signals
      1 dated events
      • ••• Locked
        Jan 11, 2014 · 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.