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Former SEC-registered adviser

I• W••••••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 313282SEC 801-121328IAPD
Latest filing Feb 10, 2022
First filing on the tape Apr 28, 2021 · 7 filings
RAUM
$9.3M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
100%
$9.3M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$9.3M as of Feb 10, 2022
Apr 28, 2021$0 then
HNW client RAUM$5.0M as of Feb 10, 2022
Sep 10, 2021$5.0M then
State-registered IARs (5.B.3)1 as of Feb 10, 2022
Apr 28, 20210 then
Employees (5.A)1 as of Feb 10, 2022
Apr 28, 20211 then
Private funds: no history
Practice profile
derived from the filing of Feb 10, 2022; every figure names its basis
RAUM per advisor
$9.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$201,915derivedRAUM over accounts (5.F.2.f)
Discretionary
51%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
1.0derived1 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 individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$240,141, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.0M53%
  • Individuals$4.3M47%
Individual clients
42reported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
46reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$240,141 for 1 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • W••••••••• I•••••• D••••• · Managing Member And Chief Compliance Officercontrol
    since 05/2021 · 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
  • HQ city · WILLIAMSPORT to unset
    Dec 23, 2021 to Jan 27, 2022
  • HQ state · PA to unset
    Dec 23, 2021 to Jan 27, 2022
  • Assets in custody · unset to 240141.0
    Sep 10, 2021 to Dec 23, 2021
  • Custody of client assets · false to true
    Sep 10, 2021 to Dec 23, 2021
  • Accounts · 0 to 46
    May 28, 2021 to Sep 10, 2021
  • HNW clients · unset to 4.0
    May 28, 2021 to Sep 10, 2021
  • Individual clients · unset to 42.0
    May 28, 2021 to Sep 10, 2021
  • Discretionary RAUM · $0 to $4.7M
    May 28, 2021 to Sep 10, 2021
  • HNW RAUM · unset to 4961011.0
    May 28, 2021 to Sep 10, 2021
  • Individual RAUM · unset to 4327086.0
    May 28, 2021 to Sep 10, 2021
  • Non-discretionary RAUM · $0 to $4.6M
    May 28, 2021 to Sep 10, 2021
  • RAUM · $0 to $9.3M
    May 28, 2021 to Sep 10, 2021
  • Business name · T•• W••••••••• G••••• L•• to I• W••••••••• W••••• M••••••••• L••
    Apr 28, 2021 to May 28, 2021
  • State-registered IARs · 0 to 1
    Apr 28, 2021 to May 28, 2021
  • Legal name · T•• W••••••••• G••••• L•• to I• W••••••••• W••••• M••••••••• L••
    Apr 28, 2021 to May 28, 2021
Signals
2 dated events
  • D•••• R•••••• D••••••• left I• W••••••••• W••••• M••••••••• L•• for D••••••• W••••• A•••••••• L•• (registered 2023-04-10)
    Jun 2, 2023 · Advisor changed firm · fact
  • T•• W••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Apr 28, 2021 · 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