DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WESTERN INVESTMENT LLC

CRD 161586

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3f2c7b64-a389-b051-21f9-9cdb41641d5b

Data as of Mar 21, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2012 to Mar 21, 2017
8 observations

Across DFX

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.

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: $112MItem 5.F on the latest filing (2017-03-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $103M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
Accounts: 3
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $103Mgross asset value as reported per fund; never fund size
Custody, client assets: $103M
SEC number: 801-73351
CRD: 161586
Filings on the tape: 8
First filed: Feb 13, 2012
Latest filed: Mar 21, 2017
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
WESTERN INVESTMENT HEDGED PARTNERS LP	Hedge Fund	$69.4M	Mar 21, 2017	33	Feb 13, 2012	reported	021-139921
WESTERN INVESTMENT INSTITUTIONAL PARTNERS LLC	Hedge Fund	$43.4M	Feb 13, 2012	65	Feb 13, 2012	dropped	n/a
WESTERN INVESTMENT TOTAL RETURN PARTNERS LP	Hedge Fund	$33.2M	Mar 21, 2017	6	Feb 13, 2012	reported	021-157608
WESTERN INVESTMENT ACTIVISM PARTNERS LLC	Hedge Fund	$27.7M	Feb 13, 2012	7	Feb 13, 2012	dropped	n/a
WESTERN INVESTMENT TOTAL RETURN FUND LTD	Hedge Fund	$12.5M	Feb 13, 2012	2	Feb 13, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LIPSON, ARTHUR, DAVID	Principal	E	yes	05/1997	Feb 13, 2012	Mar 21, 2017
MERCHANT, JAMES, REX	CHIEF COMPLIANCE OFFICER, CFO	Na	no	09/2008	Feb 13, 2012	Mar 21, 2017

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 21, 2017	$112M	$103M	3	2	n/a	2	$103M
2015	Mar 17, 2016	$100M	$97.2M	3	2	n/a	2	$97.2M
2014	Mar 20, 2015	$113M	$110M	3	2	n/a	2	$110M
2013	Mar 13, 2014	$123M	$99.7M	3	2	n/a	2	$99.7M
2012	Mar 15, 2013	$110M	$96.9M	8	3	n/a	2	$96.9M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$112M	$100M	11.3%	$123M	-3.0%	3	3	n/a	n/a

Relationships

Advises (5)

→ WESTERN INVESTMENT HEDGED PARTNERS LPPrivate fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ WESTERN INVESTMENT TOTAL RETURN PARTNERS LPPrivate fundHedge Fund, IA
Feb 13, 2012 to presentfactForm ADV
→ WESTERN INVESTMENT TOTAL RETURN FUND LTDPrivate fundHedge Fund, IA, no longer reported
Feb 13, 2012 to Feb 13, 2012factForm ADV
→ WESTERN INVESTMENT INSTITUTIONAL PARTNERS LLCPrivate fundHedge Fund, IA, no longer reported
Feb 13, 2012 to Feb 13, 2012factForm ADV
→ WESTERN INVESTMENT ACTIVISM PARTNERS LLCPrivate fundHedge Fund, IA, no longer reported
Feb 13, 2012 to Feb 13, 2012factForm ADV

Owns (1)

← MERCHANT, JAMES, REXOwnerCHIEF COMPLIANCE OFFICER, CFO, ownership code NA, individual
Feb 13, 2012 to presentfactForm ADV

Controls (1)

← LIPSON, ARTHUR, DAVIDOwnerPRINCIPAL, ownership code E, individual
Feb 13, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f2c7b64-a389-b051-21f9-9cdb41641d5b
First observed: Feb 13, 2012
Last observed: Mar 21, 2017 115 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.

WESTERN INVESTMENT LLC

CRD 161586

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3f2c7b64-a389-b051-21f9-9cdb41641d5b

Data as of Mar 21, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:05 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

WESTERN INVESTMENT HEDGED PARTNERS LP

Hedge Fund

$69.4M

Mar 21, 2017

Feb 13, 2012

reported

021-139921

WESTERN INVESTMENT INSTITUTIONAL PARTNERS LLC

Hedge Fund

$43.4M

Feb 13, 2012

dropped

n/a

WESTERN INVESTMENT TOTAL RETURN PARTNERS LP

Hedge Fund

$33.2M

Mar 21, 2017

Feb 13, 2012

reported

021-157608

WESTERN INVESTMENT ACTIVISM PARTNERS LLC

Hedge Fund

$27.7M

Feb 13, 2012

dropped

n/a

WESTERN INVESTMENT TOTAL RETURN FUND LTD

Hedge Fund

$12.5M

Feb 13, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LIPSON, ARTHUR, DAVID

Principal

yes

05/1997

Feb 13, 2012

Mar 21, 2017

MERCHANT, JAMES, REX

CHIEF COMPLIANCE OFFICER, CFO

09/2008

Feb 13, 2012

Mar 21, 2017

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 21, 2017

$112M

$103M

n/a

$103M

2015

Mar 17, 2016

$100M

$97.2M

n/a

$97.2M

2014

Mar 20, 2015

$113M

$110M

n/a

$110M

2013

Mar 13, 2014

$123M

$99.7M

n/a

$99.7M

2012

Mar 15, 2013

$110M

$96.9M

n/a

$96.9M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$112M

$100M

11.3%

$123M

-3.0%

n/a