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S• W••••••• C••••••• L••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $29.2M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$29.2M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+5.6%
Private clients
60%
of RAUM, $17.5M
See where advisers wentSee teams that moved
More
Advisors (1)Where 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. Last change: 9 Mar 2026, RAUM $27.7M to $29.2M (+5.6%) on the Form ADV filed 9 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 173204 · SEC 801-131673 · 4 filingsShow
CRD 173204SEC 801-131673First filing on the tape Nov 21, 2024, latest Mar 9, 2026SEC status approved since Jan 2, 2025IAPD
RAUM
$29.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$17.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$29.2M
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
4 filings and snapshots on the tape

RAUM +5.6% over the last fiscal year · the tape starts Nov 21, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$29.2M as of Mar 9, 2026
Feb 28, 2025$27.7M then
HNW client RAUM$15.0M as of Mar 9, 2026
Feb 28, 2025$14.2M then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Feb 28, 20251 then
Employees (5.A)1 as of Mar 9, 2026
Feb 28, 20251 then
Private funds: no history
RAUM +5.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$29.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
17derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+5.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, performance-basedreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing

51% high-net-worth individuals, 40% corporations and businesses, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$15.0M51%
  • Corporations and businesses$11.8M40%
  • Individuals$2.4M8.2%
Individual clients
5reported
HNW clients
12reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
18reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 60% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      S•••• S•••••• W•••••••Chartered Financial AnalystNew York, NyMar 3, 202515 y1
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••••• S••••• S•••••• · Managing Member/Chief Compliance Officercontrol
        since 07/2014 · owns 75% or more
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      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
      • Discretionary RAUM · $27.7M to $29.2M
        Feb 28, 2025 to Mar 9, 2026
      • HNW RAUM · $14.2M to $15.0M
        Feb 28, 2025 to Mar 9, 2026
      • Individual RAUM · $2.5M to $2.4M
        Feb 28, 2025 to Mar 9, 2026
      • RAUM · $27.7M to $29.2M
        Feb 28, 2025 to Mar 9, 2026
      • Financial planning clients · unset to
        Dec 9, 2024 to Feb 28, 2025
      Full history · 9 changes
      • Discretionary RAUM · $25.2M to $27.7M
        Dec 9, 2024 to Feb 28, 2025
      • HNW RAUM · $13.6M to $14.2M
        Dec 9, 2024 to Feb 28, 2025
      • Individual RAUM · $2.6M to $2.5M
        Dec 9, 2024 to Feb 28, 2025
      • RAUM · $25.2M to $27.7M
        Dec 9, 2024 to Feb 28, 2025
      Signals
      1 dated events
      • ••• Locked
        Nov 21, 2024 · 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
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 9, 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
      $29.2Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026