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Former SEC-registered adviser

T•• W••••••• G••••• I•••

Former SEC-registered adviserSomers, New YorkCRD 8384SEC 801-120154IAPD
Latest filing Mar 29, 2024
First filing on the tape Dec 14, 2020 · 19 filings
SEC status approved since Jan 13, 2021
RAUM
$32.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$32.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$32.1M as of Mar 29, 2024
Mar 7, 2022$31.6M then
HNW client RAUM$5.9M as of Mar 29, 2024
Mar 7, 2022$2.4M then
State-registered IARs (5.B.3)3 as of Mar 29, 2024
Mar 7, 20222 then
Employees (5.A)4 as of Mar 29, 2024
Mar 7, 20224 then
Private funds: no history
RAUM -20% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
RAUM per advisor
$10.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$162,130derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.9%derived
Compensation
percentage of assets, hourly, 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$26.2M81%
  • High-net-worth individuals$5.9M19%
Individual clients
189reported
HNW clients
4reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
198reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••••• G•••••• R•••• · Vice President, Crop, Sropcontrol
    since 01/1995 · owns 50% to 75%
  • M••••••••• J••• A••••• · President, Cco, Finop, Cfocontrol
    since 01/1995 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Cranston, Ri000
Somers, Ny · principal000
Stamford, Ct000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 205 to 198
    Dec 1, 2023 to Mar 29, 2024
  • Individual clients · 201 to 189
    Dec 1, 2023 to Mar 29, 2024
  • Discretionary RAUM · $40.3M to $32.1M
    Dec 1, 2023 to Mar 29, 2024
  • HNW RAUM · $11.5M to $5.9M
    Dec 1, 2023 to Mar 29, 2024
  • Individual RAUM · $28.8M to $26.2M
    Dec 1, 2023 to Mar 29, 2024
  • RAUM · $40.3M to $32.1M
    Dec 1, 2023 to Mar 29, 2024
  • Advisory activities · 2 to 1
    Mar 6, 2023 to Oct 23, 2023
  • BD registered reps · 4 to 2
    Mar 6, 2023 to Oct 23, 2023
  • Employees · 5 to 4
    Mar 6, 2023 to Oct 23, 2023
  • Financial planning clients · 11-25 to unset
    Mar 6, 2023 to Oct 23, 2023
  • Accounts · 87 to 205
    Jan 27, 2023 to Mar 6, 2023
  • HNW clients · 2 to 4
    Jan 27, 2023 to Mar 6, 2023
  • Individual clients · 85 to 201
    Jan 27, 2023 to Mar 6, 2023
  • Financial planning clients · 1-10 to 11-25
    Jan 27, 2023 to Mar 6, 2023
  • Discretionary RAUM · $31.6M to $40.3M
    Jan 27, 2023 to Mar 6, 2023
  • HNW RAUM · $2.4M to $11.5M
    Jan 27, 2023 to Mar 6, 2023
  • Individual RAUM · $29.2M to $28.8M
    Jan 27, 2023 to Mar 6, 2023
  • RAUM · $31.6M to $40.3M
    Jan 27, 2023 to Mar 6, 2023
  • State-registered IARs · 2 to 3
    Jun 2, 2022 to Oct 27, 2022
  • Advisory employees · 2 to 3
    Jun 2, 2022 to Oct 27, 2022
  • Employees · 4 to 5
    Jun 2, 2022 to Oct 27, 2022
  • Accounts · 0 to 87
    Feb 3, 2021 to Mar 7, 2022
  • Charity clients · unset to 0.0
    Feb 3, 2021 to Mar 7, 2022
  • Corporate clients · unset to 0.0
    Feb 3, 2021 to Mar 7, 2022
  • HNW clients · unset to 2.0
    Feb 3, 2021 to Mar 7, 2022
  • Individual clients · unset to 85.0
    Feb 3, 2021 to Mar 7, 2022
  • Pension plan clients · unset to 0.0
    Feb 3, 2021 to Mar 7, 2022
  • Pooled vehicle clients · unset to 0.0
    Feb 3, 2021 to Mar 7, 2022
  • Financial planning clients · 0 to 1-10
    Feb 3, 2021 to Mar 7, 2022
  • Discretionary RAUM · $0 to $31.6M
    Feb 3, 2021 to Mar 7, 2022
  • HNW RAUM · unset to 2447480.0
    Feb 3, 2021 to Mar 7, 2022
  • Individual RAUM · unset to 29190838.0
    Feb 3, 2021 to Mar 7, 2022
  • Pension RAUM · unset to 0.0
    Feb 3, 2021 to Mar 7, 2022
  • Pooled vehicle RAUM · unset to 0.0
    Feb 3, 2021 to Mar 7, 2022
  • RAUM · $0 to $31.6M
    Feb 3, 2021 to Mar 7, 2022
  • Advisory employees · 1 to 2
    Jan 25, 2021 to Feb 3, 2021
  • BD registered reps · 1 to 4
    Jan 25, 2021 to Feb 3, 2021
  • Employees · 1 to 4
    Jan 25, 2021 to Feb 3, 2021
  • State-registered IARs · 1 to 2
    Jan 25, 2021 to Feb 3, 2021
Signals
7 dated events
  • T•• W••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $32.1M)
    Feb 3, 2025 · Left the SEC roster · derived
  • G•••••• R•••• C•••••• left T•• W••••••• G••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2025-01-03)
    Sep 27, 2024 · Advisor changed firm · fact
  • G••••• P•••••• M••••••• left T•• W••••••• G••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-05-31)
    Jun 27, 2024 · Advisor changed firm · fact
  • A•••••• J••• C•••••• left T•• W••••••• G••••• I••• for G•••••••• W••••• P••••••• (registered 2024-04-12)
    Apr 12, 2024 · Advisor changed firm · fact
  • B•••• J••••• M•••••• left T•• W••••••• G••••• I••• for A•• T••• M•••••• F•••••••• S••••••• L•• (registered 2023-09-19)
    Oct 6, 2023 · Advisor changed firm · fact
  • G•••••• H• K••••• left T•• W••••••• G••••• I••• for A•• T••• M•••••• F•••••••• S••••••• L•• (registered 2023-07-26)
    Aug 16, 2023 · Advisor changed firm · fact
  • T•• W••••••• G••••• I••• filed its initial SEC registration (Form ADV)
    Dec 14, 2020 · 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