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Former SEC-registered adviser

I••• W••••• M••••••••• L••••••

Former SEC-registered adviserMumbai, Maharashtra, CRD 302103SEC 801-116995IAPD
Latest filing Feb 11, 2020
First filing on the tape Jun 20, 2019 · 5 filings
RAUM
$337M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
89%
$300M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
589
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$337M as of Feb 11, 2020
Jun 20, 2019$337M then
HNW client RAUM$295M as of Feb 11, 2020
Jun 20, 2019$295M then
State-registered IARs (5.B.3)0 as of Feb 11, 2020
Jun 20, 20190 then
Employees (5.A)589 as of Feb 11, 2020
Jun 20, 2019589 then
Private funds: no history
Practice profile
derived from the filing of Feb 11, 2020; 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
$7.8MderivedHNW RAUM over HNW clients
Average account
$3.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
81%derivedof RAUM
Institutional
3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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
fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$295M88%
  • Corporations and businesses$22.8M6.8%
  • Charitable organizations$11.2M3.3%
  • Individuals$4.5M1.3%
Individual clients
35reported
HNW clients
38reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
87reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performancereported
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
      • B•••••• K•••• · Director/Shareholdercontrol
        since 09/2010 · owns 5% to 10%
      • J•••• N•••••• B••••••••• · Director/Shareholdercontrol
        since 01/2008 · owns 10% to 25%
      • S•••• Y•••• · Directorcontrol
        since 09/2010 · owns less than 5%
      • T••••••••• S••••• · Compliance Officercontrol
        since 01/2019 · owns less than 5%
      • G•••• V•••• · Head - Operations
        since 07/2018 · owns less than 5%
      • M•••••• G•••• · Director
        since 03/2015 · owns less than 5%
      • N•••• A•••••••• A•••• · Chief Compliance Officer
        since 01/2011 · owns less than 5%
      • N•••• S••••••• A••••• · Director
        since 02/2016 · owns less than 5%
      • N•••••••• M•••• · Chief Financial Officer
        since 01/2017 · owns less than 5%
      • N••••••• S••••••••• · Director
        since 06/2019 · owns less than 5%
      • R•••••••• V••••••••• · Director
        since 01/2008 · owns less than 5%
      • R••••••• S••••••• · Director
        since 02/2016 · owns less than 5%
      • V•••••••• N•••••• S••••• · Director
        since 05/2013 · owns less than 5%
      Entity owners
      • F•• M•••••••• I••••••••• L•••••• · Shareholder
        direct · owns 10% to 25%
      • G•••••• A••••••• S•••••••• F••• P••• L••• · Shareholder
        direct · owns 10% to 25%
      • F•••••• F•••••••• H••••••• L•••••• · Shareholder
        indirect · owns 50% to 75% of F•••••• I•••• H••••••• C•••••••••
      • F•••••• I•••• H••••••• C••••••••• · Shareholder
        indirect · owns 50% to 75% of F•• M•••••••• I••••••••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • I••• W••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Jun 20, 2019 · 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