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J• P•••••• W••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Columbia, Maryland

Former SEC-registered adviser, based in Columbia, Maryland, reporting $129M of regulatory assets.

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

As of 2025-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $129M
Advisors: Not applicable
Net advisor flow, 12 months: -1 (0 in, 1 out)
RAUM change, last fiscal year: +13%
Private clients: 99% of RAUM, $128M

Advisors Advisor movement Where the RAUM sits

As of 2025-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 4 Form ADV filings for this adviser, the latest 18 months ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 327975 · SEC 801-128771 · 4 filingsShow

CRD 327975SEC 801-128771First filing on the tape Aug 23, 2023, latest Mar 17, 2025SEC status approved since Sep 22, 2023IAPD

RAUM

$129M

reported, Item 5.F

Discretionary

64%

of RAUM

Private clients

99%

$128M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM$129M as of Mar 17, 2025

Mar 21, 2024$114M then

HNW client RAUM$118M as of Mar 17, 2025

Mar 21, 2024$96.2M then

State-registered IARs (5.B.3)1 as of Mar 17, 2025

Mar 21, 20241 then

Employees (5.A)3 as of Mar 17, 2025

Mar 21, 20243 then

Private funds: no history

RAUM +13% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 17, 2025; every figure names its basis

RAUM per advisor: $129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 79derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $523,484derivedRAUM over accounts (5.F.2.f)
Discretionary: 64%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +2.6%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program: $129MreportedItem 5.I
Custody: $9.0M, 5 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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$118M91%
Individuals$10.5M8.1%
Corporations and businesses$953,1080.7%

Individual clients: 33reported
HNW clients: 46reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 247reported
Financial planning clients: 26-50reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $9.0M for 5 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

1 left, 0 joined in 12 months

net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months

Left, latest

J•••• M•••••• W•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Oct 29, 2025 · RIA to affiliated broker-dealer or bank

Joined, latest

J•••• M•••••• W•••••• from W•••• F•••• A•••••••
Nov 13, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••••• J••••• M•••••• · Ceo - Membercontrol
since 08/2023 · owns 75% or more
W••••••• N•••• M•••• · Chief Compliance Officer And Chief Financial Officercontrol
since 07/2023 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Columbia, Md · principal	0	0	1

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

RAUM · $114M to $129M
Mar 21, 2024 to Mar 17, 2025
Accounts · 245 to 247
Mar 21, 2024 to Mar 17, 2025
HNW clients · 40 to 46
Mar 21, 2024 to Mar 17, 2025
Individual clients · 37 to 33
Mar 21, 2024 to Mar 17, 2025
Assets in custody · $432,727 to $9.0M
Mar 21, 2024 to Mar 17, 2025
Financial planning clients · 0 to 26-50
Mar 21, 2024 to Mar 17, 2025
Discretionary RAUM · $79.2M to $83.4M
Mar 21, 2024 to Mar 17, 2025
HNW RAUM · $96.2M to $118M
Mar 21, 2024 to Mar 17, 2025
Individual RAUM · $17.2M to $10.5M
Mar 21, 2024 to Mar 17, 2025
Non-discretionary RAUM · $35.0M to $45.9M
Mar 21, 2024 to Mar 17, 2025
Accounts · 251 to 245
Dec 22, 2023 to Mar 21, 2024
Charity clients · unset to 0.0
Dec 22, 2023 to Mar 21, 2024
Corporate clients · unset to 1.0
Dec 22, 2023 to Mar 21, 2024
HNW clients · 42 to 40
Dec 22, 2023 to Mar 21, 2024
Individual clients · 38 to 37
Dec 22, 2023 to Mar 21, 2024
Pension plan clients · unset to 0.0
Dec 22, 2023 to Mar 21, 2024
Pooled vehicle clients · unset to 0.0
Dec 22, 2023 to Mar 21, 2024
Assets in custody · $929,149 to $432,727
Dec 22, 2023 to Mar 21, 2024
Discretionary RAUM · $70.7M to $79.2M
Dec 22, 2023 to Mar 21, 2024
HNW RAUM · $92.2M to $96.2M
Dec 22, 2023 to Mar 21, 2024
Individual RAUM · $14.6M to $17.2M
Dec 22, 2023 to Mar 21, 2024
Non-discretionary RAUM · $36.9M to $35.0M
Dec 22, 2023 to Mar 21, 2024
Pension RAUM · unset to 0.0
Dec 22, 2023 to Mar 21, 2024
Pooled vehicle RAUM · unset to 0.0
Dec 22, 2023 to Mar 21, 2024
RAUM · $108M to $114M
Dec 22, 2023 to Mar 21, 2024
Accounts · 0 to 251
Aug 23, 2023 to Dec 22, 2023
Advisory activities · 3 to 4
Aug 23, 2023 to Dec 22, 2023
BD registered reps · 2 to 0
Aug 23, 2023 to Dec 22, 2023
HNW clients · unset to 42.0
Aug 23, 2023 to Dec 22, 2023
Individual clients · unset to 38.0
Aug 23, 2023 to Dec 22, 2023
Assets in custody · $0 to $929,149
Aug 23, 2023 to Dec 22, 2023
Custody of client assets · false to true
Aug 23, 2023 to Dec 22, 2023
Insurance-licensed employees · 1 to 0
Aug 23, 2023 to Dec 22, 2023
Discretionary RAUM · $0 to $70.7M
Aug 23, 2023 to Dec 22, 2023
HNW RAUM · unset to 92197622.0
Aug 23, 2023 to Dec 22, 2023
Individual RAUM · unset to 14609880.0
Aug 23, 2023 to Dec 22, 2023
Non-discretionary RAUM · $0 to $36.9M
Aug 23, 2023 to Dec 22, 2023
RAUM · $0 to $108M
Aug 23, 2023 to Dec 22, 2023

Signals

3 dated events

••• Locked
Dec 20, 2025 · Left the SEC roster · derived
••• Locked
Oct 29, 2025 · Advisor changed firm · fact
••• Locked
Aug 23, 2023 · 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