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N•• W••• A•••• M•••••••••

Wealth manager with institutional or fund businessSEC-registeredwebsite

Wealth manager with institutional or fund business, reporting $12.5M of regulatory assets.

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

Regulatory AUM
$12.5M
Advisors
0
Private clients
20%
of RAUM, $2.5M
See where advisers wentSee teams that moved
More
AdvisorsWhere 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 335727 · SEC 801-134329 · 3 filingsShow
CRD 335727SEC 801-134329Legal name N•• W••• A•••• M••••••••• L••First filing on the tape Sep 25, 2025, latest Sep 17, 2026SEC status approved since Sep 24, 2025IAPD
RAUM
$12.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$2.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
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
3 filings and snapshots on the tape

Filed figures over time · the tape starts Sep 25, 2025

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$12.5M as of Mar 23, 2026
Sep 25, 2025$0 then
HNW client RAUM: $2.5M
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Sep 25, 20251 then
Employees (5.A)1 as of Mar 23, 2026
Sep 25, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
$12.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$147,059derivedHNW RAUM over HNW clients
Average account
$694,444derivedRAUM 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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

80% pooled investment vehicles, 20% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow
  • Pooled investment vehicles$10.0M80%
  • High-net-worth individuals$2.5M20%
Individual clients
n/areported
HNW clients
17reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
18reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 20% private clients, 80% pooled funds, 0% institutions; related broker-dealer not reported; related bank not reportedderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • T••••••• K•••• J••••• · Chief Compliance Officer, Ceocontrol
        since 02/2025 · owns less than 5%
      Ownership changes
      Schedule A, between consecutive filings
      No owner or control person joined or left between filings on the tape.
      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
      • Financial planning clients · to unset
        Mar 23, 2026 to Sep 17, 2026
      • HQ city · to unset
        Mar 23, 2026 to Sep 17, 2026
      • HQ state · to unset
        Mar 23, 2026 to Sep 17, 2026
      • Related adviser · false to unset
        Mar 23, 2026 to Sep 17, 2026
      • Related bank · false to unset
        Mar 23, 2026 to Sep 17, 2026
      Full history · 16 changes
      • Related broker-dealer · false to unset
        Mar 23, 2026 to Sep 17, 2026
      • Related insurance company · false to unset
        Mar 23, 2026 to Sep 17, 2026
      • Succession · false to unset
        Mar 23, 2026 to Sep 17, 2026
      • Accounts · 0 to 18
        Sep 25, 2025 to Mar 23, 2026
      • HNW clients · unset to 17.0
        Sep 25, 2025 to Mar 23, 2026
      • Pooled vehicle clients · unset to 2.0
        Sep 25, 2025 to Mar 23, 2026
      • Discretionary RAUM · $0 to $12.5M
        Sep 25, 2025 to Mar 23, 2026
      • HNW RAUM · unset to 2500000.0
        Sep 25, 2025 to Mar 23, 2026
      • Individual RAUM · unset to 0.0
        Sep 25, 2025 to Mar 23, 2026
      • Pooled vehicle RAUM · unset to 10000000.0
        Sep 25, 2025 to Mar 23, 2026
      • RAUM · $0 to $12.5M
        Sep 25, 2025 to Mar 23, 2026
      Signals
      1 dated events
      • ••• Locked
        Sep 25, 2025 · First SEC registration · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Sep 17, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Sep 17, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
      Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.