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Former SEC-registered adviser

U• F•••••• A•••• M•••••••••

Former SEC-registered adviserNewtown Square, PennsylvaniaCRD 285915SEC 801-114105IAPD
Legal name W•••••• L••
Latest filing Apr 1, 2026
First filing on the tape Sep 7, 2018 · 26 filings
SEC status approved since Oct 8, 2018
RAUM
$1.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.5M as of Apr 1, 2026
Jan 29, 2019$7.0M then
HNW client RAUM$1.5M as of Apr 1, 2026
Jan 29, 2019$1.2M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Jan 29, 20192 then
Employees (5.A)2 as of Apr 1, 2026
Jan 29, 20194 then
Private funds: no history
RAUM +36% over the last fiscal year-51% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
RAUM per advisor
$1.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$500,000derivedHNW RAUM over HNW clients
Average account
$375,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+36%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 assetsreportedItem 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)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.5M100%
Individual clients
0reported
HNW clients
3reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • F•••••• D••••• P••••• · Chief Financial Officercontrol
        since 11/2017 · owns less than 5%
      • X•• Y••• · Chief Executive Officer, Chief Operating Officer And Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      Entity owners
      • T•••• F•••••• H••••••• I••• · Parent/Member
        direct · owns 75% or more
      • U• F•••••• G••••• H••••••• L•••••• · Parent/Shareholder
        indirect · owns 75% or more of T•••• F•••••• H••••••• I•••
      • U• F•••••• H•••••• L•••••• · Parent/Shareholder
        indirect · owns 75% or more of U• F•••••• G••••• H••••••• L•••••• · public reporting company
      Related persons
      Schedule D 7.A
      • S••••••• H•• C••••• T••• R••• A•••• M••••••••• C••• L•••
        investment advisern
      • T•••• B•••••• ••• G••••• L••••••
        broker-dealerinvestment advisern
      • T•••• B•••••• ••••••••• P•• L••
        broker-dealercustodiann
      • T•••• F••• M••••••••• P•• L••
        broker-dealerinvestment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Mar 29, 2025 to Mar 30, 2026
      • Discretionary RAUM · $1.0M to $1.5M
        Mar 29, 2025 to Mar 30, 2026
      • HNW RAUM · $1.1M to $1.5M
        Mar 29, 2025 to Mar 30, 2026
      • Non-discretionary RAUM · $100,000 to $0
        Mar 29, 2025 to Mar 30, 2026
      • RAUM · $1.1M to $1.5M
        Mar 29, 2025 to Mar 30, 2026
      • Accounts · 7 to 3
        May 27, 2024 to Mar 29, 2025
      • Advisory employees · 6 to 2
        May 27, 2024 to Mar 29, 2025
      • Advisory activities · 4 to 1
        May 27, 2024 to Mar 29, 2025
      • HNW clients · 7 to 3
        May 27, 2024 to Mar 29, 2025
      • Employees · 8 to 2
        May 27, 2024 to Mar 29, 2025
      • Financial planning clients · 0 to 0
        May 27, 2024 to Mar 29, 2025
      • Discretionary RAUM · $802,969 to $1.0M
        May 27, 2024 to Mar 29, 2025
      • HNW RAUM · $3.1M to $1.1M
        May 27, 2024 to Mar 29, 2025
      • Non-discretionary RAUM · $2.3M to $100,000
        May 27, 2024 to Mar 29, 2025
      • Pension RAUM · 0.0 to unset
        May 27, 2024 to Mar 29, 2025
      • Pooled vehicle RAUM · 0.0 to unset
        May 27, 2024 to Mar 29, 2025
      • RAUM · $3.1M to $1.1M
        May 27, 2024 to Mar 29, 2025
      • Discretionary RAUM · $3.1M to $802,969
        Mar 29, 2024 to Apr 16, 2024
      • Non-discretionary RAUM · $0 to $2.3M
        Mar 29, 2024 to Apr 16, 2024
      • Accounts · 18 to 7
        Mar 31, 2023 to Mar 29, 2024
      • Advisory employees · 5 to 6
        Mar 31, 2023 to Mar 29, 2024
      • Charity clients · unset to 0.0
        Mar 31, 2023 to Mar 29, 2024
      • Corporate clients · 3 to 0
        Mar 31, 2023 to Mar 29, 2024
      • HNW clients · 12 to 7
        Mar 31, 2023 to Mar 29, 2024
      • Individual clients · unset to 0.0
        Mar 31, 2023 to Mar 29, 2024
      • Pension plan clients · unset to 0.0
        Mar 31, 2023 to Mar 29, 2024
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2023 to Mar 29, 2024
      • State-registered IARs · 3 to 1
        Mar 31, 2023 to Mar 29, 2024
      • Discretionary RAUM · $2.3M to $3.1M
        Mar 31, 2023 to Mar 29, 2024
      • HNW RAUM · $4.4M to $3.1M
        Mar 31, 2023 to Mar 29, 2024
      • Individual RAUM · $142,170 to $0
        Mar 31, 2023 to Mar 29, 2024
      • Non-discretionary RAUM · $10.6M to $0
        Mar 31, 2023 to Mar 29, 2024
      • Pension RAUM · unset to 0.0
        Mar 31, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2023 to Mar 29, 2024
      • RAUM · $12.9M to $3.1M
        Mar 31, 2023 to Mar 29, 2024
      • Accounts · 17 to 18
        Nov 16, 2022 to Mar 31, 2023
      • Advisory employees · 6 to 5
        Nov 16, 2022 to Mar 31, 2023
      • Advisory activities · 2 to 4
        Nov 16, 2022 to Mar 31, 2023
      • HNW clients · 9 to 12
        Nov 16, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 2.0 to unset
        Nov 16, 2022 to Mar 31, 2023
      Signals
      7 dated events
      • U• F•••••• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $1.5M)
        Sep 1, 2026 · Left the SEC roster · derived
      • Raymond Christopher Mendez (Chief Compliance Officer) no longer on Schedule A of U• F•••••• A•••• M••••••••• (listed 2024-04-16, absent 2024-05-27)
        May 27, 2024 · Control person left · inference
      • Henry David Weissman (Chief Operating Officer) no longer on Schedule A of U• F•••••• A•••• M••••••••• (listed 2022-11-16, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • J••••• M•••••• (Chief Compliance Officer) no longer on Schedule A of U• F•••••• A•••• M••••••••• (listed 2020-06-29, absent 2020-09-03)
        Sep 3, 2020 · Control person left · inference
      • Henry David Weissman (Chief Operating Officer) appeared on Schedule A of U• F•••••• A•••• M•••••••••
        Sep 3, 2020 · Control person joined · fact
      • Raymond Christopher Mendez (Chief Compliance Officer) appeared on Schedule A of U• F•••••• A•••• M•••••••••
        Sep 3, 2020 · Control person joined · fact
      • Wealthn filed its initial SEC registration (Form ADV)
        Sep 7, 2018 · 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