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F•••• S••• W••••• P•••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $31.3M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$31.3M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
Private clients
100%
of RAUM, $31.3M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 317527 · SEC 801-132772 · 5 filingsShow
CRD 317527SEC 801-132772Legal name F•••• S••• W••••• P•••••••• L••First filing on the tape May 13, 2025, latest Aug 11, 2026SEC status approved since May 13, 2025IAPD
RAUM
$31.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$31.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$31.3M
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
5 filings and snapshots on the tape

Filed figures over time · the tape starts May 13, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$31.3M as of Aug 11, 2026
May 13, 2025$26.4M then
HNW client RAUM$26.3M as of Aug 11, 2026
May 13, 2025$23.3M then
State-registered IARs (5.B.3)1 as of Aug 11, 2026
May 13, 20251 then
Employees (5.A)1 as of Aug 11, 2026
May 13, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 11, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$31.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$272,046derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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 office 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing

84% high-net-worth individuals, 16% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$26.3M84%
  • Individuals$5.0M16%
Individual clients
9reported
HNW clients
10reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
115reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    E••• M•••••• N•••Certified Financial PlannerWilton, NyJan 14, 202226 y6
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Who runs the funds
    related persons named most often on the Form D filings of the firm's funds
    No Form D related person is on record for this firm's funds.
    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 · 108 to 115
      Sep 23, 2025 to Mar 31, 2026
    • Advisory activities · 2 to 3
      Sep 23, 2025 to Mar 31, 2026
    • HNW clients · 7 to 10
      Sep 23, 2025 to Mar 31, 2026
    • Individual clients · 11 to 9
      Sep 23, 2025 to Mar 31, 2026
    • Assets in custody · 0.0 to unset
      Sep 23, 2025 to Mar 31, 2026
    Full history · 11 changes
    • Discretionary RAUM · $26.4M to $31.3M
      Sep 23, 2025 to Mar 31, 2026
    • HNW RAUM · $23.3M to $26.3M
      Sep 23, 2025 to Mar 31, 2026
    • Individual RAUM · $3.1M to $5.0M
      Sep 23, 2025 to Mar 31, 2026
    • RAUM · $26.4M to $31.3M
      Sep 23, 2025 to Mar 31, 2026
    • Wrap assets (manager) · 0.0 to unset
      Sep 23, 2025 to Mar 31, 2026
    • Wrap assets (sponsor) · 0.0 to unset
      Sep 23, 2025 to Mar 31, 2026
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Aug 11, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Aug 11, 2026
    Contact form
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $31.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026

    Not yet on record: RAUM change, 1 year.