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Former SEC-registered adviser

T•• F••••• W••••• M••••••••• G••••

Former SEC-registered adviserWestbury, New YorkCRD 288027SEC 801-110390websiteIAPD
Legal name P•• F•••••••• S•••••••• I•••
Latest filing May 17, 2019
First filing on the tape Apr 4, 2017 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$30.5M as of Mar 29, 2018
Apr 4, 2017$31.0M then
HNW client RAUM$0 as of May 17, 2019
Mar 29, 2018$28.5M then
State-registered IARs (5.B.3)0 as of May 17, 2019
Apr 4, 20170 then
Employees (5.A)4 as of May 17, 2019
Apr 4, 20174 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 17, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
P•••• F•••• F•••••Chartered Financial ConsultantWestbury, NyOct 22, 202140 y1
S••••• P• F•••••Chartered Financial ConsultantWestbury, NyJun 17, 202214 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, 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•••••• P••••• F•••• · Ceo/Ccocontrol
      since 03/2017 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Westbury, Ny · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 137.0 to unset
      Mar 29, 2018 to Mar 22, 2019
    • Advisory activities · 4 to 3
      Mar 29, 2018 to Mar 22, 2019
    • BD registered reps · 3 to 2
      Mar 29, 2018 to Mar 22, 2019
    • HNW clients · 49 to 0
      Mar 29, 2018 to Mar 22, 2019
    • Individual clients · 15 to 0
      Mar 29, 2018 to Mar 22, 2019
    • Discretionary RAUM · 0.0 to unset
      Mar 29, 2018 to Mar 22, 2019
    • HNW RAUM · $28.5M to $0
      Mar 29, 2018 to Mar 22, 2019
    • Individual RAUM · $2.0M to $0
      Mar 29, 2018 to Mar 22, 2019
    • Non-discretionary RAUM · 30478388.0 to unset
      Mar 29, 2018 to Mar 22, 2019
    • RAUM · 30478388.0 to unset
      Mar 29, 2018 to Mar 22, 2019
    • Accounts · 135 to 137
      Apr 17, 2017 to Mar 29, 2018
    • Charity clients · unset to 0.0
      Apr 17, 2017 to Mar 29, 2018
    • Corporate clients · unset to 0.0
      Apr 17, 2017 to Mar 29, 2018
    • HNW clients · unset to 49.0
      Apr 17, 2017 to Mar 29, 2018
    • Individual clients · unset to 15.0
      Apr 17, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 0.0
      Apr 17, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 0.0
      Apr 17, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Apr 17, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 28524975.0
      Apr 17, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 1953413.0
      Apr 17, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $31.0M to $30.5M
      Apr 17, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 0.0
      Apr 17, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Apr 17, 2017 to Mar 29, 2018
    • RAUM · $31.0M to $30.5M
      Apr 17, 2017 to Mar 29, 2018
    Signals
    2 dated events
    • Nmn Steve Solano (Cco) no longer on Schedule A of T•• F••••• W••••• M••••••••• G•••• (listed 2019-04-29, absent 2019-05-14)
      May 14, 2019 · Control person left · inference
    • T•• F••••• W••••• M••••••••• G•••• filed its initial SEC registration (Form ADV)
      Apr 4, 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.
    How to reach
    public business contact points only, each with its source
    Website
    F•••••WMG.COMreportedpublic record, Form ADV, Sep 21, 2026
    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