DFX Intelligence

W•••••••• J•••• • A••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

W•••••••• J•••• • A••••••••• L••

CRD 106861

NEW YORK, NY

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Search this name across graphsid dfx:ria:493b7942-7e8f-b64d-6d8c-c88785fee3bc

Data as of Aug 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 55
Dated events: 0
On other graphs: 2
Observed: Mar 15, 2012 to Aug 22, 2019
25 observations

Across DFX

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

Private Equityidentity

W•••••••• J•••• • A••••••••• L••

Private equity manager · shared crd

Venture Capitalidentity

W•••••••• J•••• • A••••••••• L••

Venture manager · 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: $7.0B••• Locked
Discretionary RAUM: $6.8B
Private client RAUM: $6.2Bderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 38

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••	Hedge Fund	$11.6M	Nov 14, 2018	57	Mar 15, 2012	reported	021-1506049
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••	Hedge Fund	$7.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• J•••• J•••••	PRESIDENT; TREASURER; PARTNER	B	yes	08/1999	Mar 15, 2012	Aug 22, 2019
J••••• J••• W••••••• P••••••••	CHAIRMAN; SECRETARY; PARTNER	B	yes	08/1999	Mar 15, 2012	Aug 22, 2019

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
PALM BEACH	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$7.0B	$7.2B	-2.7%	$5.5B	8.5%	38	38	1	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••••• J•••• W••••• M••••••••• L••	4	Aug 23, 2019	Jan 1, 2025	NEW YORK, NY	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (4)

← E••••• J•••• J•••••OwnerPRESIDENT; TREASURER; PARTNER, ownership code B, individual
Mar 15, 2012 to presentfactForm ADV
← J••••• J••• W••••••• P••••••••OwnerCHAIRMAN; SECRETARY; PARTNER, ownership code B, individual
Mar 15, 2012 to presentfactForm ADV
← S••••••• J•••OwnerCHIEF LEGAL OFFICER; CHIEF COMPLIANCE OFFICER; PARTNER, ownership code NA, individual
Mar 15, 2012 to presentfactForm ADV
← W•••••••• J•••• • A••••••••• I•••OwnerPARENT COMPANY, ownership code E, domestic entity
Mar 15, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:493b7942-7e8f-b64d-6d8c-c88785fee3bc
First observed: Mar 15, 2012
Last observed: Aug 22, 2019 86 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.