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W••••• M•••••• G••••

Former SEC-registered adviserFormer SEC adviser· San Diego, California

Former SEC-registered adviser, based in San Diego, California, reporting $580,000 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$580,000
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $580,000
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 9 Form ADV filings for this adviser, the latest 7.3 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 299862 · SEC 801-114521 · 9 filingsShow
CRD 299862SEC 801-114521Legal name W••••• M•••••• G•••• I•• L••First filing on the tape Nov 30, 2018, latest Jul 17, 2019IAPD
RAUM
$580,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$580,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
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
9 filings and snapshots on the tape
RAUM$580,000 as of Jul 17, 2019
Nov 30, 2018$0 then
HNW client RAUM$580,000 as of Jul 17, 2019
May 21, 2019$580,000 then
State-registered IARs (5.B.3)2 as of Jul 17, 2019
Nov 30, 20183 then
Employees (5.A)2 as of Jul 17, 2019
Nov 30, 20183 then
Private funds: no history
Practice profile
derived from the filing of Jul 17, 2019; every figure names its basis
RAUM per advisor
$290,000derivedRAUM 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
$580,000derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
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
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$580,000100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••••• M••••••• P•••••• · Chief Compliance Officercontrol
    since 01/2019 · owns less than 5%
  • L••••••• C••••• D•••• · Trustor & Trusteecontrol
    since 01/2018 · owns F of L•••••• F••••• T••••
  • L••••••• M••••••• P•••••• · Trustor & Trusteecontrol
    since 01/2018 · owns F of L•••••• F••••• T••••
Entity owners
  • L•••••• F••••• T•••• · Managing Member
    direct · owns 75% or more
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
  • Advisory employees · 3 to 2
    Jul 3, 2019 to Jul 17, 2019
  • BD registered reps · 3 to 2
    Jul 3, 2019 to Jul 17, 2019
  • Employees · 3 to 2
    Jul 3, 2019 to Jul 17, 2019
  • Insurance-licensed employees · 3 to 2
    Jul 3, 2019 to Jul 17, 2019
  • State-registered IARs · 3 to 2
    Jul 3, 2019 to Jul 17, 2019
  • Business name · W••••• M•••••• G••••• L•• to W••••• M•••••• G••••
    Jul 2, 2019 to Jul 3, 2019
  • Related insurance company · false to true
    May 21, 2019 to Jul 2, 2019
  • Accounts · 0 to 1
    Apr 3, 2019 to May 21, 2019
  • HNW RAUM · unset to 580000.0
    Apr 3, 2019 to May 21, 2019
  • Non-discretionary RAUM · $0 to $580,000
    Apr 3, 2019 to May 21, 2019
  • RAUM · $0 to $580,000
    Apr 3, 2019 to May 21, 2019
  • Business name · W••••• M•••••• G•••• I•• L•• to W••••• M•••••• G••••• L••
    Nov 30, 2018 to Dec 3, 2018
Signals
3 dated events
  • ••• Locked
    Jan 15, 2023 · Advisor changed firm · fact
  • ••• Locked
    Jul 2, 2019 · Control person joined · fact
  • ••• Locked
    Nov 30, 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
Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026