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Former SEC-registered adviser

W••••• • C••••••• I•••

Former SEC-registered adviserSarasota, FloridaCRD 174235SEC 801-80773IAPD
Legal name D• L• W••••• • C••••••• I•••
Latest filing Apr 6, 2016
First filing on the tape Dec 16, 2014 · 10 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$0 as of Apr 6, 2016
Dec 16, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 6, 2016
Dec 16, 20141 then
Employees (5.A)1 as of Apr 6, 2016
Dec 16, 20141 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 6, 2016; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • 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
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      • W•••••• D•••••• L•• · Ccocontrol
        since 12/2014 · 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
      • Business name · D••• W••••• • C•••••• to W••••• • C••••••• I•••
        Mar 22, 2016 to Apr 6, 2016
      • Legal name · W•••••, D••••• LEE to D• L• W••••• • C••••••• I•••
        Jan 11, 2016 to Mar 22, 2016
      • Succession · true to false
        Jan 11, 2016 to Mar 22, 2016
      • HQ city · BRADENTON to SARASOTA
        Dec 21, 2015 to Jan 11, 2016
      • Organization form · Sole Proprietorship to Corporation
        Dec 21, 2015 to Jan 11, 2016
      • Legal name · G••••• P•••••• W•••••, INC. to W•••••, D••••• LEE
        Dec 17, 2015 to Dec 21, 2015
      • Succession · false to true
        Dec 17, 2015 to Dec 21, 2015
      • Legal name · D••• W••••• • C•••••• to G••••• P•••••• W•••••, INC.
        Dec 16, 2015 to Dec 17, 2015
      • Organization form · Corporation to Sole Proprietorship
        Dec 16, 2015 to Dec 17, 2015
      • Business name · G••••• P•••••• W••••• to D••• W••••• • C••••••
        Dec 16, 2015 to Dec 16, 2015
      • Legal name · G••••• P•••••• W•••••, INC to D••• W••••• • C••••••
        Dec 16, 2015 to Dec 16, 2015
      • Legal name · W•••••• D•••••• L•• to G••••• P•••••• W•••••, INC
        Jan 12, 2015 to Jan 13, 2015
      • Organization form · Sole Proprietorship to Corporation
        Jan 12, 2015 to Jan 13, 2015
      • Succession · true to false
        Jan 12, 2015 to Jan 13, 2015
      • Legal name · G••••• P•••••• W••••• to W•••••• D•••••• L••
        Dec 16, 2014 to Jan 12, 2015
      • Succession · false to true
        Dec 16, 2014 to Jan 12, 2015
      Signals
      2 dated events
      • D••• W••••• • C•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 21, 2015 · Succession (Item 4) · fact
      • G••••• P•••••• W••••• filed its initial SEC registration (Form ADV)
        Dec 16, 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.
      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