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CRD 112660
CHARLOTTE, NC
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D••••••• W•••••• E•••••• | Manager | Na | yes | 06/2018 | Nov 14, 2018 | Nov 14, 2018 |
| P•••• C••••••••• W•••••• | PRESIDENT/MANAGING MEMBER | Na | yes | 08/2015 | Aug 28, 2015 | Nov 14, 2018 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S••••••••• A•••• I••••••••• L•• | n/a | Former SEC adviser | $168M | N | yes | n/a |
| W•••• F•••• P•••• S•••••••• L•• | n/a | n/a | n/a | N | yes |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2017 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2017 | $80.7M | $136M | -40.5% | $425M | -42.5% | 7 | 7 | 1 | n/a |
| MANAGING DIRECTOR/MANAGING MEMBER |
| Na |
| yes |
| 03/2016 |
| Mar 17, 2016 |
| Nov 14, 2018 |
| W•••• F•••• • C•••••• | Shareholder | E | yes | 08/2001 | Nov 29, 2011 | Nov 14, 2018 |
| B••••••• V••••••• | Secretary | Na | no | 08/2016 | Aug 23, 2016 | Nov 14, 2018 |
| L••••••••• D••••• L• | ASSISTANT SECRETARY | Na | no | 08/2016 | May 18, 2012 | Nov 14, 2018 |
| L•••••• M••••••• R••••• | PORTFOLIO MANAGER/ELECTED MANAGER | Na | no | 11/2013 | Nov 19, 2013 | Nov 14, 2018 |
| N•••••• S••••••• G•••••••• | Treasurer | Na | no | 04/2014 | May 1, 2014 | Nov 14, 2018 |
| T•••••• S••••• C••••• | CHIEF COMPLIANCE OFFICER/MANAGER | Na | no | 12/2007 | Nov 29, 2011 | Nov 14, 2018 |
| W•••• F•••• S••••••••• C•••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| W•••• F•••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| $80.7M |
| $0 |
| 7 |
| 1 |
| 1 |
| n/a |
| n/a |
| 2016 | Mar 29, 2017 | $136M | $136M | 7 | 1 | n/a | n/a | n/a |
| 2015 | Mar 17, 2016 | $222M | $222M | 7 | 1 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $425M | $425M | 7 | 1 | n/a | n/a | n/a |
| 2013 | Jan 31, 2014 | $1.0B | $1.0B | 3 | 1 | n/a | n/a | n/a |
| 2012 | Mar 4, 2013 | $1.5B | $1.5B | 3 | 1 | n/a | n/a | n/a |
| 2011 | Mar 22, 2012 | $1.9B | $1.9B | n/a | n/a | n/a | n/a | n/a |