DFX Intelligence

Data Factory

W••••• C•••••• U• 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 under $100M

W••••• C•••••• U• L••

CRD 171924

NEW YORK, NY

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:d9084734-b9b9-d530-a7e3-46fbbba340b1

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 28, 2014 to Mar 30, 2022
25 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: $53.6M••• Locked
Discretionary RAUM: $53.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• D••••• W•••••	CEO, FOUNDER AND CHAIRMAN	D	yes	01/2014	Aug 28, 2014	Mar 30, 2022
H••••••• D••••• W•••••	ELECTED MANAGER	Na	yes	02/2014	Aug 28, 2014	Mar 30, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••• C•••••• M••••••••• L•••	n/a	Asset manager	$12B	N	yes	n/a
W••••• C•••••• ••••••• L••	n/a	n/a	n/a	N	yes	n/a
W••••• C•••••• A••• L••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

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	$53.6M	$58.4M	-8.2%	$43.6M	7.1%	12	14	0	0

Relationships

Affiliated with (1)

→ W••••• C•••••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (4)

← H••••••• D••••• W•••••OwnerCEO, FOUNDER AND CHAIRMAN, ownership code D, individual
Aug 28, 2014 to presentfactForm ADV
← R••••••• A••• B••••• A••OwnerELECTED MANAGER, ownership code NA, individual
Sep 20, 2017 to presentfactForm ADV
← W••••••• A•••• P••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Aug 28, 2014
First Form ADV filing
W••••• C•••••• U• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9084734-b9b9-d530-a7e3-46fbbba340b1
First observed: Aug 28, 2014
Last observed: Mar 30, 2022 54 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.