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L••••• W••••• • C••••••

Former SEC-registered adviserFormer SEC adviser5 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $391M of regulatory assets.

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

Last reported RAUM
$391M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
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
What we can say about this record

We hold 2 Form ADV filings for this adviser, the latest 14.7 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 106066 · SEC 801-40750 · 2 filingsShow
CRD 106066SEC 801-40750Legal name L••••• W••••• M••••••••• I•••First filing on the tape Nov 14, 2011, latest Mar 26, 2012IAPD
RAUM
$391M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$317M gross assets
History
2 filings and snapshots on the tape
RAUM$391M as of Mar 26, 2012
Nov 14, 2011$998M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: 5
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2012; 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
$32.6MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$341M, 6 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$341M for 6 clientsreported
Compensation
% of AUM, performancereported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••••• W••••• G•••• T•••• • C••••••••• A••••••••• F•••Hedge Fund$190M40Mar 26, 2012
      L••••• W••••• C••••••••• A••••••••• S••••••••• F••• L•Hedge Fund$58.0M24Mar 26, 2012
      L••••• W••••• M••••••• V••••••••• F••• L•Hedge Fund$38.7M67Mar 26, 2012
      L••••• W••••• D••••••••• O••••••••• F••• L•Hedge Fund$30.6M46Mar 26, 2012
      L••••• W••••• E••••• P••••••• I• L•Hedge Fund$117,84647Mar 26, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• R•••••• C••••• · Secretary/Treasurercontrol
        since 04/1993 · owns 25% to 50%
      • W•••••• R•••••• C•••••• · Presidentcontrol
        since 04/1993 · owns 25% to 50%
      • G•••••• L••• · Chief Financial Officer & Chief Compliance Officer
        since 12/1999 · owns less than 5%
      • S••••• S•••••• J••••• · Chief Operating Officer & General Counsel
        since 07/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 261 to 12
        Nov 14, 2011 to Mar 26, 2012
      • Advisory activities · 1 to 3
        Nov 14, 2011 to Mar 26, 2012
      • Assets in custody · $546M to $341M
        Nov 14, 2011 to Mar 26, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 14, 2011 to Mar 26, 2012
      • Private funds · unset to 5
        Nov 14, 2011 to Mar 26, 2012
      • Discretionary RAUM · $998M to $391M
        Nov 14, 2011 to Mar 26, 2012
      • RAUM · $998M to $391M
        Nov 14, 2011 to Mar 26, 2012
      • Related adviser · false to true
        Nov 14, 2011 to Mar 26, 2012
      • Related bank · false to true
        Nov 14, 2011 to Mar 26, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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