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R•••••• W•••••

Former SEC-registered adviserFormer SEC adviser· Chicago, Illinois

Former SEC-registered adviser, based in Chicago, Illinois, reporting $4.8M of regulatory assets across 1 registered advisors.

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

As of 2026-05-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $4.8M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: -98%
Private clients: 100% of RAUM, $4.8M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-05-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -98% over the last fiscal year, to $4.8M.
2026-05-04
RAUM a year earlier $238MRAUM now $4.8M

Every filed figure, and the identifiersCRD 310981 · SEC 801-119671 · 18 filingsShow

CRD 310981SEC 801-119671Legal name R•••••• W••••• A••••••• L••First filing on the tape Sep 22, 2020, latest May 4, 2026SEC status approved since Oct 23, 2020IAPD

RAUM

$4.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$4.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$4.8M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$4.8M as of May 4, 2026

Mar 30, 2021$123M then

HNW client RAUM$257M as of Mar 31, 2026

Mar 30, 2021$112M then

State-registered IARs (5.B.3)1 as of May 4, 2026

Mar 30, 20210 then

Employees (5.A)2 as of May 4, 2026

Mar 30, 20213 then

Private funds: no history

RAUM -98% over the last fiscal year-71% a year over threeIARs 1 to 1

Practice profile

derived from the filing of May 4, 2026; every figure names its basis

RAUM per advisor: $4.8MderivedRAUM 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: $956,782derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +9.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -6.5%derived
Compensation: fixed feesreportedItem 5.E
Advisory activities: 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

Individuals$4.8M100%

Individual clients: 5reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• M••••• T••••• L•••••Chartered Financial Analyst	Chicago, Il	Jun 1, 2026	28 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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L•••••• J••••• M••••• T••••• · Chief Investment Officercontrol
since 09/2020 · owns 50% to 75%
B••••••••• W••••••• E•••• · Member
since 05/2023 · owns 5% to 10%
P••••••• H••••••• S•••• · Member
since 05/2023 · owns 5% to 10%
S••••• K••••• M•••••• · Member
since 01/2023 · owns 10% to 25%
S••••• R•••• D••••• · Chief Compliance Officer
since 08/2022 · owns less than 5%

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

Accounts · 135 to 5
Mar 31, 2026 to May 4, 2026
Advisory employees · 2 to 1
Mar 31, 2026 to May 4, 2026
Advisory activities · 3 to 1
Mar 31, 2026 to May 4, 2026
Charity clients · 1.0 to unset
Mar 31, 2026 to May 4, 2026
HNW clients · 27.0 to unset
Mar 31, 2026 to May 4, 2026
Individual clients · 2 to 5
Mar 31, 2026 to May 4, 2026
Financial planning clients · 26-50 to 0
Mar 31, 2026 to May 4, 2026
Discretionary RAUM · $260M to $4.8M
Mar 31, 2026 to May 4, 2026
HNW RAUM · 257380609.0 to unset
Mar 31, 2026 to May 4, 2026
Individual RAUM · $533,525 to $4.8M
Mar 31, 2026 to May 4, 2026
RAUM · $260M to $4.8M
Mar 31, 2026 to May 4, 2026
Accounts · 180 to 135
Jun 2, 2025 to Mar 31, 2026
Advisory employees · 3 to 2
Jun 2, 2025 to Mar 31, 2026
Advisory activities · 5 to 3
Jun 2, 2025 to Mar 31, 2026
HNW clients · 28 to 27
Jun 2, 2025 to Mar 31, 2026
Individual clients · 3 to 2
Jun 2, 2025 to Mar 31, 2026
Employees · 4 to 2
Jun 2, 2025 to Mar 31, 2026
Discretionary RAUM · $235M to $260M
Jun 2, 2025 to Mar 31, 2026
HNW RAUM · $234M to $257M
Jun 2, 2025 to Mar 31, 2026
Individual RAUM · $745,367 to $533,525
Jun 2, 2025 to Mar 31, 2026
Non-discretionary RAUM · $2.9M to $0
Jun 2, 2025 to Mar 31, 2026
RAUM · $238M to $260M
Jun 2, 2025 to Mar 31, 2026
Financial planning clients · 26-50 to 26-50
Mar 28, 2025 to Jun 2, 2025
Accounts · 139 to 180
Mar 28, 2024 to Mar 28, 2025
Advisory employees · 2 to 3
Mar 28, 2024 to Mar 28, 2025
Charity clients · unset to 1.0
Mar 28, 2024 to Mar 28, 2025
HNW clients · 37 to 28
Mar 28, 2024 to Mar 28, 2025
Individual clients · unset to 3.0
Mar 28, 2024 to Mar 28, 2025
State-registered IARs · 2 to 1
Mar 28, 2024 to Mar 28, 2025
Discretionary RAUM · $185M to $235M
Mar 28, 2024 to Mar 28, 2025
HNW RAUM · $185M to $234M
Mar 28, 2024 to Mar 28, 2025
Individual RAUM · unset to 745367.0
Mar 28, 2024 to Mar 28, 2025
Non-discretionary RAUM · $2.0M to $2.9M
Mar 28, 2024 to Mar 28, 2025
RAUM · $187M to $238M
Mar 28, 2024 to Mar 28, 2025
Accounts · 133 to 139
Jun 30, 2023 to Mar 28, 2024
Advisory employees · 1 to 2
Jun 30, 2023 to Mar 28, 2024
HNW clients · 36 to 37
Jun 30, 2023 to Mar 28, 2024
Financial planning clients · 0 to 26-50
Jun 30, 2023 to Mar 28, 2024
State-registered IARs · 0 to 2
Jun 30, 2023 to Mar 28, 2024
Discretionary RAUM · $188M to $185M
Jun 30, 2023 to Mar 28, 2024

Signals

9 dated events

••• Locked
Sep 1, 2026 · Left the SEC roster · derived
••• Locked
May 4, 2026 · RAUM change · derived
••• Locked
Jan 30, 2023 · Control person left · inference
••• Locked
Jan 30, 2023 · Control person left · inference
••• Locked
Jan 30, 2023 · Control person left · inference
••• Locked
Aug 18, 2022 · Control person left · inference
••• Locked
Aug 18, 2022 · Control person joined · fact
••• Locked
Oct 15, 2021 · Control person joined · fact
••• Locked
Sep 22, 2020 · 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: $4.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026