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Former SEC-registered adviser

O•••••• W•••••

Former SEC-registered adviserCRD 287886SEC 801-110448IAPD
Legal name O•••••• W•••••• L••
Latest filing Jul 16, 2020
First filing on the tape Apr 12, 2017 · 7 filings
RAUM
$1.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.1M as of Mar 25, 2020
May 15, 2018$1.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2020
May 15, 20181 then
Employees (5.A)1 as of Mar 25, 2020
May 15, 20181 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Jul 16, 2020; every figure names its basis
RAUM per advisor
$1.1MderivedRAUM 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
$220,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
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
      • C••••• S••••• K• · Presidentcontrol
        since 01/2017 · owns 75% or more
      • Q••••• J•••• P•••••• · Chief Compliance Officercontrol
        since 01/2017 · owns less than 5%
      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
      • HQ city · SEVILLA to unset
        May 13, 2019 to Mar 25, 2020
      • Other offices · 1 to 0
        May 13, 2019 to Mar 25, 2020
      • Accounts · 0 to 5
        Apr 18, 2017 to May 15, 2018
      • HQ city · BRUSSELS to SEVILLA
        Apr 18, 2017 to May 15, 2018
      • Other offices · unset to 1.0
        Apr 18, 2017 to May 15, 2018
      • Discretionary RAUM · $0 to $1.1M
        Apr 18, 2017 to May 15, 2018
      • Individual RAUM · unset to 1100000.0
        Apr 18, 2017 to May 15, 2018
      • RAUM · $0 to $1.1M
        Apr 18, 2017 to May 15, 2018
      Signals
      1 dated events
      • O•••••• W••••• filed its initial SEC registration (Form ADV)
        Apr 12, 2017 · 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