DFX Intelligence

W•••••• A•••• M••••••••• 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•••• M••••••••• L••

CRD 161183

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:94790e29-82bc-130a-246f-16e107202f6a

Data as of Dec 16, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 1
Observed: Feb 14, 2012 to Dec 16, 2016
14 observations

Across DFX

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

Private Equityidentity

W•••••• A•••• M••••••••• L••

Private equity 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: $115M••• Locked
Discretionary RAUM: $115M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•••••• O••••••••• P•••••••• L•••	Hedge Fund	$120M	Sep 9, 2016	98	Feb 14, 2012	reported	021-105639
W•••••• C•••••• P•••••••• L•••	Private Equity Fund	$20.0M	Apr 1, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• D•••••• M•••	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER	Na	yes	01/2012	Feb 14, 2012	Dec 16, 2016
W•• C••••••• L••	Member	E	yes	12/2015	Sep 9, 2016	Dec 16, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• S••••••••• I•••	n/a	Bd affiliated wealth	$5.7B	N	yes	CA
V•• H••••• A•••• M••••••••• L••	n/a	Independent wealth	$2.1B	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Sep 9, 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
2016	$115M	$241M	-52.4%	$229M	-20.6%	13	26	n/a	n/a

Relationships

Affiliated with (3)

← Q•••••• I•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ V•• H••••• F•••••••• A•••••••Registered adviserother investment adviser, control
factForm ADV
→ W•••••• S••••••••• I•••Registered adviserother investment adviser, broker-dealer, trust company, LP sponsor, custodian, common control
factForm ADV

Advises (9)

→ W•••••• C•••••• P•••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:94790e29-82bc-130a-246f-16e107202f6a
First observed: Feb 14, 2012
Last observed: Dec 16, 2016 118 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.