DFX Intelligence

W•• M••••••••• C•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

W•• M••••••••• C•••••••••

CRD 157375

NEW YORK, NY

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Search this name across graphsid dfx:ria:2d959699-1995-5782-f861-11e6ce0dbc92

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 2
Observed: Feb 10, 2012 to Mar 29, 2016
7 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

W•• M••••••••• C•••••••••

Private equity manager · cited, shared crd

Allocatorsidentity

W•• M••••••••• C•••••••••

Manager with allocator commitments · cited, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $6.3M••• Locked
Discretionary RAUM: $6.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 80
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W••• C•••••• P••••••• I•• L•••	Private Equity Fund	$6.9M	Apr 29, 2013	32	Feb 10, 2012	dropped	n/a
W••••• C•••••• A••••••• • S•••• V•••• L•••	Private Equity Fund	$4.9M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• B••••• K•••••	SENIOR VICE PRESIDENT	Na	yes	06/2011	Feb 10, 2012	Mar 29, 2016
C•••••• R••••••• L••••	SENIOR VICE PRESIDENT	Na	yes	06/2011	Feb 10, 2012	Mar 29, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••• M••••••••• C•••••••••	n/a	Asset manager	$15B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$6.3M	$121M	-94.8%	$148M	-65.2%	80	80	n/a	n/a

Relationships

Affiliated with (1)

→ W••• M••••••••• C•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Advises (5)

→ W••••• C•••••• A••••••• • S•••• V•••• L•••Private fundPrivate Equity Fund, IA
Feb 10, 2012 to presentfactForm ADV
→ W••• H••••••••• P••••••• L•••Private fundPrivate Equity Fund, IA
Feb 10, 2012 to presentfactForm ADV
→

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2d959699-1995-5782-f861-11e6ce0dbc92
First observed: Feb 10, 2012
Last observed: Mar 29, 2016 127 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.