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W••• S••••• A•••••••••

Former SEC-registered adviserFormer SEC adviser· La Jolla, California

Former SEC-registered adviser, based in La Jolla, California, reporting $366M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$366M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-66%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 105494 · SEC 801-30019 · 13 filingsShow
CRD 105494SEC 801-30019Legal name W••• S••••• A••••••••• L••First filing on the tape Jan 17, 2012, latest Dec 27, 2016IAPD
RAUM
$366M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$366M as of Mar 9, 2016
Mar 15, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 9, 2016
Mar 15, 20120 then
Employees (5.A)10 as of Mar 9, 2016
Mar 27, 201314 then
Private funds1 as of Mar 27, 2014
Mar 15, 20122 then
RAUM -66% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 27, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$26.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-66%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L• J•••• P•••••••• L•no longer reportedHedge Fund$16.0M9Jan 17, 2012
      V••••• I••••••••• P•••••••• L•no longer reportedHedge Fund$1.9M5Jan 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• P•••• J••••• · Principal And Portfolio Managercontrol
        since 01/2014 · owns less than 5%
      • G•••••• W•••••• · Principal And Head Of Tradingcontrol
        since 01/2014 · owns less than 5%
      • J•••••••• L••••• A••• · Principal And Portfolio Managercontrol
        since 01/2014 · owns less than 5%
      • K••••••• R••• R•• · Principal, Director Of Marketingcontrol
        since 01/2014 · owns less than 5%
      • L••••• P•••• K••••• · Principal And Portfolio Managercontrol
        since 01/2014 · owns less than 5%
      • S••••• T••• C••••••• · Principal, Chief Operating Officer & Chief Compliance Officercontrol
        since 01/2014 · owns less than 5%
      • T••••••••• K••••••• · Principal, Client Servicescontrol
        since 01/2014 · owns less than 5%
      • W••••• A•••••• C•••••••• · Principal And Portfolio Managercontrol
        since 01/2014 · owns less than 5%
      • A•••••• P•••• J••••• · Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      • G•••••• W•••••• · Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      • J•••••••• L••••• A••• · Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      • K••••••• R••• R•• · Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      • L••••• P•••• K••••• · Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      • S••••• T••• C••••••• · Managing Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      • T••••••••• K••••••• · Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      • W••••• A•••••• C•••••••• · Membercontrol
        since 01/2014 · owns F of W••• S••••• A••••••••• I•• L••
      Entity owners
      • W••• S••••• A••••••••• I•• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 26 to 14
        Mar 17, 2015 to Mar 9, 2016
      • Advisory employees · 8 to 7
        Mar 17, 2015 to Mar 9, 2016
      • Employees · 11 to 10
        Mar 17, 2015 to Mar 9, 2016
      • Discretionary RAUM · $1.1B to $366M
        Mar 17, 2015 to Mar 9, 2016
      • RAUM · $1.1B to $366M
        Mar 17, 2015 to Mar 9, 2016
      • Private funds · 1 to unset
        Mar 27, 2014 to Mar 17, 2015
      • Discretionary RAUM · $1.3B to $1.1B
        Mar 27, 2014 to Mar 17, 2015
      • RAUM · $1.3B to $1.1B
        Mar 27, 2014 to Mar 17, 2015
      • Advisory employees · 9 to 8
        Sep 24, 2013 to Mar 27, 2014
      • Employees · 14 to 11
        Sep 24, 2013 to Mar 27, 2014
      • Discretionary RAUM · $1.0B to $1.3B
        Sep 24, 2013 to Mar 27, 2014
      • RAUM · $1.0B to $1.3B
        Sep 24, 2013 to Mar 27, 2014
      • Accounts · 31 to 26
        Jun 19, 2012 to Mar 27, 2013
      • Advisory employees · unset to 9.0
        Jun 19, 2012 to Mar 27, 2013
      • Assets in custody · 1941399.0 to unset
        Jun 19, 2012 to Mar 27, 2013
      • Custody of client assets · true to false
        Jun 19, 2012 to Mar 27, 2013
      • Employees · unset to 14.0
        Jun 19, 2012 to Mar 27, 2013
      • Private funds · 2 to 1
        Jun 19, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.3B to $1.0B
        Jun 19, 2012 to Mar 27, 2013
      • RAUM · $1.3B to $1.0B
        Jun 19, 2012 to Mar 27, 2013
      • Accounts · 32 to 31
        Jan 17, 2012 to Mar 15, 2012
      • Assets in custody · $1.9M to $1.9M
        Jan 17, 2012 to Mar 15, 2012
      • Discretionary RAUM · $1.3B to $1.3B
        Jan 17, 2012 to Mar 15, 2012
      • RAUM · $1.3B to $1.3B
        Jan 17, 2012 to Mar 15, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026