DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

W•• I••••••••• M•••••• I•• L••

CRD 300898

STAMFORD, CT

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:ad1872fe-6048-2273-3a43-62369914266c

Data as of Aug 26, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: May 20, 2019 to Aug 26, 2022
10 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: $294M••• Locked
Discretionary RAUM: $294M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•• T••••••• S••••••••• M••••• F•••• L•••	Hedge Fund	$3.4M	Aug 26, 2022	5	Mar 28, 2020	reported	021-359512

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• S•••• F••••••••	MANAGING PRINCIPAL	Na	yes	01/2019	May 20, 2019	Aug 26, 2022
A••••••• P••••	Principal	Na	yes	01/2019	May 20, 2019	Aug 26, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••• C•••••• P••••••• L••	n/a	ASSET_M••••••	$8.9B	N	yes	n/a
P•••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
W•• E•••••••• G•• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
EL SEGUNDO	CA	United States	6	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$294M	$230M	27.8%	n/a	n/a	37	36	1	1

Relationships

Affiliated with (1)

→ W••••••• C•••••• P••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Advises (1)

→ W•• T••••••• S••••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Mar 28, 2020 to presentfactForm ADV

Controls (9)

← F•••• H•••••• B•••••••OwnerPRINCIPAL AND HEAD TRADER, ownership code NA, individual
May 20, 2019 to presentfactForm ADV

Dated events

Occurred
Jan 9, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 21, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
May 20, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad1872fe-6048-2273-3a43-62369914266c
First observed: May 20, 2019
Last observed: Aug 26, 2022 49 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.