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Former SEC-registered adviser

W•••• I••••••••• M•••••••••

Former SEC-registered adviserCRD 331342SEC 801-130348IAPD
Legal name W•••• I••••••••• M••••••••• L••
Latest filing May 27, 2025
First filing on the tape Apr 24, 2024 · 8 filings
SEC status approved since Jun 3, 2024
RAUM
$69.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$69.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$69.0M
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$69.0M as of May 27, 2025
Jan 6, 2025$69.0M then
HNW client RAUM$0 as of May 27, 2025
Jan 6, 2025$0 then
State-registered IARs (5.B.3)1 as of May 27, 2025
Jan 6, 20251 then
Employees (5.A)1 as of May 27, 2025
Jan 6, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 27, 2025; every figure names its basis
RAUM per advisor
$69.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM 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
portfolio management for individualsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$69.0M100%
Individual clients
16reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
26reported
Financial planning clients
n/areported
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
J•••••• A••• W••••Scotch Plains, NjJun 6, 202428 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
    • W••••• J••••••• A••• · Owner & Chief Compliance Officercontrol
      since 03/2024 · 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 · 20 to 26
      Dec 20, 2024 to Jan 6, 2025
    • Individual clients · 20 to 16
      Dec 20, 2024 to Jan 6, 2025
    • HQ city · unset to
      Dec 20, 2024 to Jan 6, 2025
    • HQ state · unset to
      Dec 20, 2024 to Jan 6, 2025
    • Discretionary RAUM · $55.0M to $69.0M
      Dec 20, 2024 to Jan 6, 2025
    • Individual RAUM · $55.0M to $69.0M
      Dec 20, 2024 to Jan 6, 2025
    • RAUM · $55.0M to $69.0M
      Dec 20, 2024 to Jan 6, 2025
    • Accounts · 0 to 20
      Jun 10, 2024 to Aug 13, 2024
    • Charity clients · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • Corporate clients · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • HNW clients · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • Individual clients · unset to 20.0
      Jun 10, 2024 to Aug 13, 2024
    • Pension plan clients · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • Pooled vehicle clients · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • Discretionary RAUM · $0 to $55.0M
      Jun 10, 2024 to Aug 13, 2024
    • HNW RAUM · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • Individual RAUM · unset to 55000000.0
      Jun 10, 2024 to Aug 13, 2024
    • Pension RAUM · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Jun 10, 2024 to Aug 13, 2024
    • RAUM · $0 to $55.0M
      Jun 10, 2024 to Aug 13, 2024
    • HQ city · SCOTCH PLAINS to unset
      May 6, 2024 to Jun 10, 2024
    • HQ state · NJ to unset
      May 6, 2024 to Jun 10, 2024
    • Legal name · W•••• I••••••••• M••••••••• to W•••• I••••••••• M••••••••• L••
      Apr 24, 2024 to May 6, 2024
    Signals
    2 dated events
    • W•••• I••••••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $69.0M)
      Jul 1, 2025 · Left the SEC roster · derived
    • W•••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
      Apr 24, 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.
    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
    $69.0Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026