DFX Intelligence

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

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

W••• S••• A•••••••• L••

CRD 112578

NEW YORK, NY

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Data as of Mar 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 1
Observed: Mar 30, 2012 to Mar 30, 2020
16 observations

Across DFX

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

Private Creditidentity

W••• S••• A•••••••• L••

Private credit manager · key_crd, 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: $993M••• Locked
Discretionary RAUM: $993M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•• M••••• F•••• L•••	Hedge Fund	$955M	Mar 30, 2020	23	Mar 30, 2012	reported	021-190640
W••• S••• S•••••• L••• M••••• F••• L•	Hedge Fund	$26.9M	Mar 30, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••••• G•••• A••••	PRES•••NT AND MANAGING MEMBER	E	yes	10/1997	Mar 30, 2012	Mar 30, 2020
S••••••• G•••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2020	Mar 30, 2020	Mar 30, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• I••	n/a	n/a	n/a	N	yes	n/a
W•• G•• L••	n/a	n/a	n/a	N	yes	n/a
W••• S••• C•••••••• C••••• G•• L••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$993M	$2.1B	-52.5%	$3.6B	-35.0%	11	10	0	0

Relationships

Advises (4)

→ W••• S••• C•••••••• C••• M••••• F••• L•Private fundHedge Fund, IA
Feb 22, 2013 to presentfactForm ADV
→ W•• M••••• F•••• L•••Private fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ W••• S••• S•••••• L••• M••••• F••• L•Private fundHedge Fund, IA
May 29, 2015 to presentfactForm ADV
→ W••• S••• O••••••••• F•••• L•

Dated events

Order

Occurred
30 Mar 2020
Control person joined
••• Locked
Form ADV
Occurred
30 Mar 2020
Regulatory AUM changed
••• Locked
Form ADV
down $1.1B
Occurred
30 Mar 2020
Control person left2 events
W••• S••• A•••••••• L••: control person left, 2 events, on 30 Mar 2020
- ••• Locked
- ••• Locked
Occurred
29 Mar 2019
Regulatory AUM changed
••• Locked
Form ADV
down $1.9B

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 30, 2020 78 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.