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Former SEC-registered adviser

B••••••••• W••••• M•••••••••

Former SEC-registered adviserRockville, MarylandCRD 286177SEC 801-120076IAPD
Legal name M••••••••• F•••••••• G•••• I•••
Latest filing Feb 16, 2024
First filing on the tape Dec 2, 2020 · 11 filings
RAUM
$216M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$216M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$216M as of Feb 16, 2024
Feb 24, 2021$114M then
HNW client RAUM$90.4M as of Feb 16, 2024
Feb 24, 2021$37.7M then
State-registered IARs (5.B.3)3 as of Feb 16, 2024
Feb 24, 20212 then
Employees (5.A)5 as of Feb 16, 2024
Feb 24, 20218 then
Private funds: no history
RAUM +25% over the last fiscal year+24% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 16, 2024; every figure names its basis
RAUM per advisor
$72.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$240,869derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$126M58%
  • High-net-worth individuals$90.4M42%
Individual clients
327reported
HNW clients
49reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
898reported
Financial planning clients
251-500reported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••••• I••• D•••••• · Chief Compliance Officercontrol
      since 08/2021 · owns less than 5%
    • T•••••• W•••••• A••••• · Presidentcontrol
      since 11/2011 · owns 75% or more
    • K•••• R•••••• L••• · Member
      since 04/2021 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Rockville, Md · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 782 to 898
      Feb 17, 2023 to Feb 16, 2024
    • HNW clients · 63 to 49
      Feb 17, 2023 to Feb 16, 2024
    • Individual clients · 286 to 327
      Feb 17, 2023 to Feb 16, 2024
    • Financial planning clients · 101-250 to 251-500
      Feb 17, 2023 to Feb 16, 2024
    • Discretionary RAUM · $173M to $216M
      Feb 17, 2023 to Feb 16, 2024
    • HNW RAUM · $89.6M to $90.4M
      Feb 17, 2023 to Feb 16, 2024
    • Individual RAUM · $83.6M to $126M
      Feb 17, 2023 to Feb 16, 2024
    • RAUM · $173M to $216M
      Feb 17, 2023 to Feb 16, 2024
    • Accounts · 654 to 782
      Feb 3, 2023 to Feb 17, 2023
    • Advisory activities · 2 to 3
      Feb 3, 2023 to Feb 17, 2023
    • HNW clients · 35 to 63
      Feb 3, 2023 to Feb 17, 2023
    • Individual clients · 271 to 286
      Feb 3, 2023 to Feb 17, 2023
    • Assets in custody · $18.9M to $0
      Feb 3, 2023 to Feb 17, 2023
    • Custody of client assets · true to false
      Feb 3, 2023 to Feb 17, 2023
    • Employees · 4 to 5
      Feb 3, 2023 to Feb 17, 2023
    • Discretionary RAUM · $153M to $173M
      Feb 3, 2023 to Feb 17, 2023
    • HNW RAUM · $59.0M to $89.6M
      Feb 3, 2023 to Feb 17, 2023
    • Individual RAUM · $93.5M to $83.6M
      Feb 3, 2023 to Feb 17, 2023
    • RAUM · $153M to $173M
      Feb 3, 2023 to Feb 17, 2023
    • Assets in custody · unset to 18938891.0
      Mar 15, 2022 to Apr 29, 2022
    • Custody of client assets · false to true
      Mar 15, 2022 to Apr 29, 2022
    • Accounts · 617 to 654
      Aug 24, 2021 to Mar 15, 2022
    • Advisory employees · 2 to 3
      Aug 24, 2021 to Mar 15, 2022
    • HNW clients · 38 to 35
      Aug 24, 2021 to Mar 15, 2022
    • Individual clients · 343 to 271
      Aug 24, 2021 to Mar 15, 2022
    • Employees · 8 to 4
      Aug 24, 2021 to Mar 15, 2022
    • State-registered IARs · 2 to 3
      Aug 24, 2021 to Mar 15, 2022
    • Discretionary RAUM · $114M to $153M
      Aug 24, 2021 to Mar 15, 2022
    • HNW RAUM · $37.7M to $59.0M
      Aug 24, 2021 to Mar 15, 2022
    • Individual RAUM · $76.4M to $93.5M
      Aug 24, 2021 to Mar 15, 2022
    • RAUM · $114M to $153M
      Aug 24, 2021 to Mar 15, 2022
    • Accounts · 610 to 617
      Dec 2, 2020 to Feb 24, 2021
    • HNW clients · 36 to 38
      Dec 2, 2020 to Feb 24, 2021
    • Individual clients · 338 to 343
      Dec 2, 2020 to Feb 24, 2021
    • Financial planning clients · 251-500 to 101-250
      Dec 2, 2020 to Feb 24, 2021
    • Discretionary RAUM · $101M to $114M
      Dec 2, 2020 to Feb 24, 2021
    • HNW RAUM · $30.3M to $37.7M
      Dec 2, 2020 to Feb 24, 2021
    • Individual RAUM · $70.3M to $76.4M
      Dec 2, 2020 to Feb 24, 2021
    • RAUM · $101M to $114M
      Dec 2, 2020 to Feb 24, 2021
    Signals
    9 dated events
    • R••••• L••• K••• left B••••••••• W••••• M••••••••• for A•••••• W••••• M••••••••• L•• (registered 2024-12-05)
      Dec 10, 2024 · Advisor changed firm · fact
    • C••••• N••••••• S•••••• left B••••••••• W••••• M••••••••• for A•••••• W••••• M••••••••• L•• (registered 2024-11-01)
      Dec 10, 2024 · Advisor changed firm · fact
    • W••••• A••••• T••••• left B••••••••• W••••• M••••••••• for A•••••• W••••• M••••••••• L•• (registered 2024-12-01)
      Dec 10, 2024 · Advisor changed firm · fact
    • B••••••••• W••••• M•••••••••'s advisors moved to A•••••• W••••• M••••••••• L•• (Rockville, MD): 3 of 3 registered, on the same day
      Dec 10, 2024 · Firm absorbed (people side) · derived
    • A••••••• L••••• left B••••••••• W••••• M••••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2022-09-29)
      Jun 6, 2022 · Advisor changed firm · fact
    • D•••••• Ian M••••••• (Chief Compliance Officer) appeared on Schedule A of B••••••••• W••••• M•••••••••
      Aug 24, 2021 · Control person joined · fact
    • P••••• A••••• D••••• (Chief Compliance Officer) no longer on Schedule A of B••••••••• W••••• M••••••••• (listed 2021-04-26, absent 2021-08-24)
      Aug 24, 2021 · Control person left · inference
    • P••••• A••••• D••••• (Chief Compliance Officer) appeared on Schedule A of B••••••••• W••••• M•••••••••
      Apr 26, 2021 · Control person joined · fact
    • B••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Dec 2, 2020 · 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