DFX Intelligence

W•••• 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•••• A•••••••• L•

CRD 309037

NEW YORK, NY

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Search this name across graphsid dfx:ria:5f3039d7-8517-165f-6ac5-b9a0b5e5649e

Data as of Apr 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Apr 29, 2020 to Apr 29, 2020
1 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: $200M••• Locked
Discretionary RAUM: $200M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•••• T•••• C•••• F•••• L•	Hedge Fund	$200M	Apr 29, 2020	1	Apr 29, 2020	reported	n/a
W•••• A••••••• N••• G••••••••• F••• I• L•	Hedge Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• M• W•••• I••••••••• T••••	Member	F	yes	07/2018	Apr 29, 2020	Apr 29, 2020
E••••• M• W•••• I••••••••• T••••	LIMITED PARTNER	C	yes	01/2020	Apr 29, 2020	Apr 29, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••• R••••••• A•••••••• L••	n/a	Former SEC adviser	$55.8M	N	yes	n/a
W•••• A••••••• N••• G••••••••• G• I• L••	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (1)

→ W•••• R••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Advises (2)

→ W•••• A••••••• N••• G••••••••• F••• I• L•Private fundHedge Fund, IA
Apr 29, 2020 to presentfactForm ADV
→ W•••• T•••• C•••• F•••• L•Private fundHedge Fund, IA
Apr 29, 2020 to presentfactForm ADV

Controls (4)

Dated events

Occurred
Apr 29, 2020
First Form ADV filing
W•••• A•••••••• L• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f3039d7-8517-165f-6ac5-b9a0b5e5649e
First observed: Apr 29, 2020
Last observed: Apr 29, 2020 77 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.