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Former SEC-registered adviser

2•• W••••• M••••••••• L••

Former SEC-registered adviserCRD 329833SEC 801-129494websiteIAPD
Latest filing May 8, 2024
First filing on the tape Jan 11, 2024 · 8 filings
RAUM
$9.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$9.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$9.1M
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
8 filings and snapshots on the tape
RAUM$9.1M as of May 8, 2024
Jan 11, 2024$0 then
HNW client RAUM$6.5M as of May 8, 2024
Apr 19, 2024$6.5M then
State-registered IARs (5.B.3)1 as of May 8, 2024
Jan 11, 20241 then
Employees (5.A)1 as of May 8, 2024
Jan 11, 20241 then
Private funds: no history
Practice profile
derived from the filing of May 8, 2024; every figure names its basis
RAUM per advisor
$9.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
10derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$233,333derivedRAUM 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 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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$6.5M71%
  • Individuals$2.6M29%
Individual clients
8reported
HNW clients
2reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
39reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• M••••• H•••••••••Chartered Financial AnalystChicago, IlFeb 21, 202413 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••••• T•••••• M••••• · Chief Executive Officer And Chief Compliance Officercontrol
      since 02/2024 · 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
    • Accounts · 0 to 39
      Feb 21, 2024 to Apr 19, 2024
    • Charity clients · unset to 0.0
      Feb 21, 2024 to Apr 19, 2024
    • Corporate clients · unset to 0.0
      Feb 21, 2024 to Apr 19, 2024
    • HNW clients · unset to 2.0
      Feb 21, 2024 to Apr 19, 2024
    • Individual clients · unset to 8.0
      Feb 21, 2024 to Apr 19, 2024
    • Pension plan clients · unset to 0.0
      Feb 21, 2024 to Apr 19, 2024
    • Pooled vehicle clients · unset to 0.0
      Feb 21, 2024 to Apr 19, 2024
    • Discretionary RAUM · $0 to $9.1M
      Feb 21, 2024 to Apr 19, 2024
    • HNW RAUM · unset to 6500000.0
      Feb 21, 2024 to Apr 19, 2024
    • Individual RAUM · unset to 2600000.0
      Feb 21, 2024 to Apr 19, 2024
    • Pension RAUM · unset to 0.0
      Feb 21, 2024 to Apr 19, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Feb 21, 2024 to Apr 19, 2024
    • RAUM · $0 to $9.1M
      Feb 21, 2024 to Apr 19, 2024
    Signals
    2 dated events
    • M••••• T••••• H••••••••• (Chief Executive Officer) appeared on Schedule A of 2•• W••••• M••••••••• L••
      Feb 5, 2024 · Control person joined · fact
    • 2•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 11, 2024 · 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.
    How to reach
    public business contact points only, each with its source
    Website
    w••.2••••••••.comreportedpublic record, Form ADV, Jun 8, 2026
    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
    $9.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026