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Former SEC-registered adviser

M••••••• W••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 289539SEC 801-111881IAPD
Latest filing Jun 21, 2018
First filing on the tape Sep 18, 2017 · 4 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Jun 21, 2018
Sep 18, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 21, 2018
Sep 18, 20171 then
Employees (5.A)1 as of Jun 21, 2018
Sep 18, 20171 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 21, 2018; 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
0.5derived2 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
$0 for 0 clientsreported
Compensation
% of AUM, fixedreported
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
      • M•••••••• P••••• C•••• · President & Chief Compliance Officercontrol
        since 09/2017 · owns 75% or more
      • M•••••••• P••••• C•••• · President & Chief Compliance Officercontrol
        since 09/2017 · owns 75% or more of M••••••• W••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Berkeley Heights, NJ1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · unset to 0.0
        Oct 15, 2017 to Jun 21, 2018
      • Custody of client assets · false to true
        Oct 15, 2017 to Jun 21, 2018
      • Organization form · Limited Liability Partnership to Limited Liability Company
        Oct 1, 2017 to Oct 15, 2017
      • Other offices · unset to 1.0
        Sep 18, 2017 to Oct 1, 2017
      Signals
      1 dated events
      • M••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 18, 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