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W••••••••• C•••••• L••

Other adviserSEC-registered1 private funds· West Harrison, New Yorkwebsite

Other adviser, based in West Harrison, New York, reporting $515M of regulatory assets across 3 registered advisors.

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

As of 2026-08-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $515M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +13%
Private clients: 18% of RAUM, $90.9M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-08-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

accounts (Item 5.F.2.f) moved from 324.0 to 134.0 (-59.0%) between the annual amendments of 2025-03-24 and 2026-02-04; the peer median change was +6.0% (24 comparable advisers, 4.0th percentile of changes)
2026-02-04
accounts (Item 5.F.2.f) 134Peer median 0.0557373255523555
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 301040 · SEC 801-117460 · 34 filingsShow

CRD 301040SEC 801-117460First filing on the tape Sep 9, 2019, latest Aug 18, 2026SEC status approved since Oct 9, 2019IAPD

RAUM

$515M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

18%

$90.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$172M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

34 filings and snapshots on the tape

RAUM$515M as of Aug 18, 2026

Feb 25, 2020$61.5M then

HNW client RAUM$90.3M as of Aug 18, 2026

Feb 25, 2020$58.8M then

State-registered IARs (5.B.3)3 as of Aug 18, 2026

Feb 25, 20202 then

Employees (5.A)5 as of Aug 18, 2026

Feb 25, 20202 then

Private funds1 as of Aug 18, 2026

Mar 31, 20221 then

RAUM +13% over the last fiscal year-2.4% a year over threeIARs 4 to 3

Practice profile

derived from the filing of Aug 18, 2026; every figure names its basis

RAUM per advisor: $172MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $821,165derivedHNW RAUM over HNW clients
Average account: $3.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.0%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: +13%derivedbetween the last two annual amendments
Advisor growth, one year: -25%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $59,839, 1 clientsreportedItem 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Other investment advisers$348M68%
High-net-worth individuals$90.3M18%
Corporations and businesses$57.3M11%
Pooled investment vehicles$13.1M2.5%
Pension and profit-sharing plans$4.2M0.8%
Charitable organizations$1.0M0.2%
Individuals$569,5390.1%

Individual clients: n/areported
HNW clients: 110reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 134reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $59,839 for 1 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.18 fund_share=0.7 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• S••••••Chartered Financial Analyst	West Harrison, Ny	Jun 6, 2019	22 y	1
D•••• M•••••• G••••••	West Harrison, Ny	May 6, 2020	24 y	0
M•••••• J•••• M••••	West Harrison, Ny	Dec 4, 2023	11 y	0

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

K••••••• R••• D•••••• to H•••••• T••••••• • K•••• L••
Jul 6, 2021 · RIA to affiliated broker-dealer or bank

Joined, latest

M•••••• S•••••• from R••••••• C•••••• M•••••••••
Jun 6, 2019 · Other

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
F••••••• O••••••••• L•no longer reported	Hedge Fund	$28.8M	47	Oct 20, 2021
W••••••••• O••••• S•• L••	Private Equity Fund	$13.1M	27	Feb 14, 2024

Owners and control persons

Schedule A and B, latest filing

S••••••• M•••••• · Managing Membercontrol
since 02/2019 · owns 50% to 75%
S••••••• J••••••• · Trustee Of Trust For D••••••••• Of M•••••• A. S••••••control
since 10/2021 · owns F of T•••• F•• T•• D••••••••• O• M•••••• A• S••••••
G••••••• D••••• M•••••• · Member
since 02/2019 · owns 10% to 25%
M••••• M••••••• J•••• · Chief Opertaing Officer & Chief Compliance Officer
since 09/2021 · owns less than 5%

Entity owners

T•••• F•• T•• D••••••••• O• M•••••• A• S•••••• · Owner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

F••••••• P•••••• O••••••••• M••••••• L••
pooled vehicle sponsorn

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
West Harrison, Ny · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count collapseChange between filings · filing Feb 4, 2026
accounts (Item 5.F.2.f) moved from 324.0 to 134.0 (-59.0%) between the annual amendments of 2025-03-24 and 2026-02-04; the peer median change was +6.0% (24 comparable advisers, 4.0th percentile of changes)
peers: other advisers, $500M to $1B (24) · 4.3% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 324 to 134
Oct 24, 2025 to Feb 4, 2026
Advisory employees · 3 to 4
Oct 24, 2025 to Feb 4, 2026
Corporate clients · 15 to 8
Oct 24, 2025 to Feb 4, 2026
HNW clients · 96 to 110
Oct 24, 2025 to Feb 4, 2026
Assets in custody · $4.6M to $59,839
Oct 24, 2025 to Feb 4, 2026
Employees · 6 to 5
Oct 24, 2025 to Feb 4, 2026
State-registered IARs · 4 to 3
Oct 24, 2025 to Feb 4, 2026
Discretionary RAUM · $449M to $515M
Oct 24, 2025 to Feb 4, 2026
HNW RAUM · $74.1M to $90.3M
Oct 24, 2025 to Feb 4, 2026
Individual RAUM · $622,723 to $569,539
Oct 24, 2025 to Feb 4, 2026
Non-discretionary RAUM · $6.3M to $0
Oct 24, 2025 to Feb 4, 2026
Pension RAUM · $3.6M to $4.2M
Oct 24, 2025 to Feb 4, 2026
Pooled vehicle RAUM · $4.6M to $13.1M
Oct 24, 2025 to Feb 4, 2026
RAUM · $455M to $515M
Oct 24, 2025 to Feb 4, 2026
Wrap assets (manager) · 0.0 to unset
Oct 24, 2025 to Feb 4, 2026
Wrap assets (sponsor) · 0.0 to unset
Oct 24, 2025 to Feb 4, 2026
Financial planning clients · 0 to 0
May 14, 2025 to Oct 24, 2025
Accounts · 360 to 324
Sep 9, 2024 to Mar 24, 2025
Corporate clients · 13 to 15
Sep 9, 2024 to Mar 24, 2025
HNW clients · 83 to 96
Sep 9, 2024 to Mar 24, 2025
Assets in custody · $4.0M to $4.6M
Sep 9, 2024 to Mar 24, 2025
Employees · 5 to 6
Sep 9, 2024 to Mar 24, 2025
State-registered IARs · 3 to 4
Sep 9, 2024 to Mar 24, 2025
Discretionary RAUM · $503M to $449M
Sep 9, 2024 to Mar 24, 2025
HNW RAUM · $56.9M to $74.1M
Sep 9, 2024 to Mar 24, 2025
Individual RAUM · $606,955 to $622,723
Sep 9, 2024 to Mar 24, 2025
Non-discretionary RAUM · $0 to $6.3M
Sep 9, 2024 to Mar 24, 2025
Pension RAUM · $4.7M to $3.6M
Sep 9, 2024 to Mar 24, 2025
Pooled vehicle RAUM · $4.0M to $4.6M
Sep 9, 2024 to Mar 24, 2025
RAUM · $503M to $455M
Sep 9, 2024 to Mar 24, 2025
Wrap assets (manager) · unset to 0.0
Sep 9, 2024 to Mar 24, 2025
Wrap assets (sponsor) · unset to 0.0
Sep 9, 2024 to Mar 24, 2025
Accounts · 106 to 360
Jul 30, 2023 to Feb 14, 2024
Advisory employees · 4 to 3
Jul 30, 2023 to Feb 14, 2024
Advisory activities · 2 to 3
Jul 30, 2023 to Feb 14, 2024
Corporate clients · 4 to 13
Jul 30, 2023 to Feb 14, 2024
HNW clients · 82 to 83
Jul 30, 2023 to Feb 14, 2024
Pooled vehicle clients · unset to 1.0
Jul 30, 2023 to Feb 14, 2024
Assets in custody · unset to 4035769.0
Jul 30, 2023 to Feb 14, 2024
Custody of client assets · false to true
Jul 30, 2023 to Feb 14, 2024

Signals

7 dated events

••• Locked
Feb 14, 2024 · Control person left · inference
••• Locked
Mar 28, 2023 · RAUM change · derived
••• Locked
Mar 31, 2022 · Control person joined · fact
••• Locked
Mar 31, 2022 · Control person joined · fact
••• Locked
Oct 20, 2021 · RAUM change · derived
••• Locked
Mar 19, 2021 · RAUM change · derived
••• Locked
Sep 9, 2019 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

W••••••••• C•••••• L•• · Independent Sponsors
shared crd · capital_provider
W••••••••• C•••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Aug 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 18, 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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $172Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026