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C•••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Brightwaters, New Yorkwebsite

Independent wealth manager, based in Brightwaters, New York, reporting $80.8M of regulatory assets.

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

Regulatory AUM
$80.8M
Advisors
0
Private clients
100%
of RAUM, $80.8M
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 338046 · SEC 801-134725 · 4 filingsShow
CRD 338046SEC 801-134725First filing on the tape Oct 9, 2025, latest Apr 30, 2026SEC status approved since Nov 19, 2025IAPD
RAUM
$80.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$80.8M 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
4 filings and snapshots on the tape

Filed figures over time · the tape starts Oct 9, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$80.8M as of Apr 30, 2026
Oct 9, 2025$0 then
HNW client RAUM$78.1M as of Apr 30, 2026
Oct 9, 2025$0 then
State-registered IARs (5.B.3)1 as of Apr 30, 2026
Oct 9, 20251 then
Employees (5.A)1 as of Apr 30, 2026
Oct 9, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • 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
$80.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
27derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$868,777derivedRAUM 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 assetsreportedItem 5.E
Advisory activities
financial planning, 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
  • is an insurance broker or agent (6.A.6)
  • 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 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

97% high-net-worth individuals, 3.4% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$78.1M97%
  • Individuals$2.7M3.4%
Individual clients
5reported
HNW clients
22reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
93reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
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
      • C••••••• J••• · Chief Executive Officer, Chief Compliance Officer, Manager, Presidentcontrol
        since 01/2026 · 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 · 13 to 93
        Mar 3, 2026 to Apr 30, 2026
      • HNW clients · 13 to 22
        Mar 3, 2026 to Apr 30, 2026
      • Individual clients · 0 to 5
        Mar 3, 2026 to Apr 30, 2026
      • Assets in custody · unset to 80796320.0
        Mar 3, 2026 to Apr 30, 2026
      • HQ city · to BRIGHTWATERS
        Mar 3, 2026 to Apr 30, 2026
      Full history · 19 changes
      • HQ state · to NY
        Mar 3, 2026 to Apr 30, 2026
      • Discretionary RAUM · $25.0M to $80.8M
        Mar 3, 2026 to Apr 30, 2026
      • HNW RAUM · $25.0M to $78.1M
        Mar 3, 2026 to Apr 30, 2026
      • Individual RAUM · $0 to $2.7M
        Mar 3, 2026 to Apr 30, 2026
      • RAUM · $25.0M to $80.8M
        Mar 3, 2026 to Apr 30, 2026
      • Accounts · 0 to 13
        Feb 3, 2026 to Mar 3, 2026
      • Advisory activities · 2 to 3
        Feb 3, 2026 to Mar 3, 2026
      • HNW clients · 0 to 13
        Feb 3, 2026 to Mar 3, 2026
      • Financial planning clients · 0 to 11-25
        Feb 3, 2026 to Mar 3, 2026
      • Discretionary RAUM · $0 to $25.0M
        Feb 3, 2026 to Mar 3, 2026
      • HNW RAUM · $0 to $25.0M
        Feb 3, 2026 to Mar 3, 2026
      • RAUM · $0 to $25.0M
        Feb 3, 2026 to Mar 3, 2026
      • HQ city · NEW YORK to
        Oct 9, 2025 to Feb 3, 2026
      • HQ state · NY to
        Oct 9, 2025 to Feb 3, 2026
      Signals
      2 dated events
      • ••• Locked
        Oct 9, 2025 · Owner of a newly registered adviser · fact
      • ••• Locked
        Oct 9, 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Apr 30, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Apr 30, 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
      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.