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Former SEC-registered adviser

A•••••• W••••• A••••••••• I•••

Former SEC-registered adviserHackensack, New JerseyCRD 170408SEC 801-79213websiteIAPD
Latest filing Aug 10, 2022
First filing on the tape Feb 10, 2014 · 60 filings
RAUM
$73.3M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
99%
$72.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$73.3M
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
60 filings and snapshots on the tape
RAUM$73.3M as of Feb 23, 2022
Jan 20, 2015$43.0M then
HNW client RAUM$70.9M as of Feb 23, 2022
Mar 21, 2018$47.4M then
State-registered IARs (5.B.3)1 as of Feb 23, 2022
Jan 20, 20151 then
Employees (5.A)1 as of Feb 23, 2022
Jan 20, 20151 then
Private funds: no history
RAUM +9.3% over the last fiscal year+13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 10, 2022; every figure names its basis
RAUM per advisor
$73.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
27derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
55%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • High-net-worth individuals$70.9M97%
  • Individuals$1.9M2.6%
  • Charitable organizations$540,9280.7%
Individual clients
5reported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
28reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
E••••• P•••••Hackensack, NjAug 11, 202240 y1
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• E•••••• N•• · Ceo/Chief Compliance Officercontrol
        since 04/2014 · 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
      • Advisory activities · 3 to 4
        Jun 7, 2022 to Jun 10, 2022
      • Business name · A•••••• W••••• A••••••••• L•• to A•••••• W••••• A••••••••• I•••
        May 25, 2022 to Jun 3, 2022
      • Legal name · A•••••• W••••• A••••••••• L•• to A•••••• W••••• A••••••••• I•••
        May 25, 2022 to Jun 3, 2022
      • HQ city · NEW YORK to HACKENSACK
        May 24, 2022 to May 25, 2022
      • HQ state · NY to NJ
        May 24, 2022 to May 25, 2022
      • Organization form · Limited Liability Company to Corporation
        May 24, 2022 to May 25, 2022
      • Accounts · 24 to 28
        Nov 11, 2021 to Feb 23, 2022
      • HNW clients · 10 to 22
        Nov 11, 2021 to Feb 23, 2022
      • Individual clients · 13 to 5
        Nov 11, 2021 to Feb 23, 2022
      • Discretionary RAUM · $30.7M to $40.3M
        Nov 11, 2021 to Feb 23, 2022
      • HNW RAUM · $62.5M to $70.9M
        Nov 11, 2021 to Feb 23, 2022
      • Individual RAUM · $4.1M to $1.9M
        Nov 11, 2021 to Feb 23, 2022
      • Non-discretionary RAUM · $36.4M to $33.0M
        Nov 11, 2021 to Feb 23, 2022
      • RAUM · $67.1M to $73.3M
        Nov 11, 2021 to Feb 23, 2022
      • Accounts · 23 to 24
        Jan 6, 2021 to Feb 18, 2021
      • Discretionary RAUM · $33.7M to $30.7M
        Jan 6, 2021 to Feb 18, 2021
      • HNW RAUM · $54.8M to $62.5M
        Jan 6, 2021 to Feb 18, 2021
      • Individual RAUM · $5.1M to $4.1M
        Jan 6, 2021 to Feb 18, 2021
      • Non-discretionary RAUM · $26.8M to $36.4M
        Jan 6, 2021 to Feb 18, 2021
      • RAUM · $60.5M to $67.1M
        Jan 6, 2021 to Feb 18, 2021
      • Business name · A•••••• W••••• A••••••• to A•••••• W••••• A••••••••• L••
        Jul 1, 2020 to Jul 2, 2020
      • Legal name · A•••••• W••••• A••••••• L•• to A•••••• W••••• A••••••••• L••
        Jun 9, 2020 to Jul 1, 2020
      • Accounts · 20 to 23
        Oct 2, 2019 to Mar 25, 2020
      • Individual clients · 11 to 13
        Oct 2, 2019 to Mar 25, 2020
      • Other offices · 1 to 0
        Oct 2, 2019 to Mar 25, 2020
      • Discretionary RAUM · $32.5M to $33.7M
        Oct 2, 2019 to Mar 25, 2020
      • HNW RAUM · $48.2M to $54.8M
        Oct 2, 2019 to Mar 25, 2020
      • Individual RAUM · $1.7M to $5.1M
        Oct 2, 2019 to Mar 25, 2020
      • Non-discretionary RAUM · $18.0M to $26.8M
        Oct 2, 2019 to Mar 25, 2020
      • RAUM · $50.5M to $60.5M
        Oct 2, 2019 to Mar 25, 2020
      • Accounts · 55 to 20
        Nov 14, 2018 to Mar 22, 2019
      • Discretionary RAUM · $32.0M to $32.5M
        Nov 14, 2018 to Mar 22, 2019
      • HNW RAUM · $47.4M to $48.2M
        Nov 14, 2018 to Mar 22, 2019
      • Individual RAUM · $4.3M to $1.7M
        Nov 14, 2018 to Mar 22, 2019
      • Non-discretionary RAUM · $20.2M to $18.0M
        Nov 14, 2018 to Mar 22, 2019
      • RAUM · $52.2M to $50.5M
        Nov 14, 2018 to Mar 22, 2019
      • Accounts · 22 to 55
        Apr 19, 2017 to Mar 21, 2018
      • HNW clients · unset to 10.0
        Apr 19, 2017 to Mar 21, 2018
      • Individual clients · unset to 11.0
        Apr 19, 2017 to Mar 21, 2018
      • State-registered IARs · 0 to 1
        Apr 19, 2017 to Mar 21, 2018
      Signals
      2 dated events
      • A•••••• W••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 9, 2015 · Succession (Item 4) · fact
      • S•••••• P••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
        Feb 10, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      A••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $73.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026