DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
W••••••••• M••••••••• C••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Sep 9, 1992
RAUM
$58.6M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$58.6M as of Mar 31, 2026
Mar 30, 2012$58.2M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 25, 20130 then
Employees (5.A)2 as of Mar 31, 2026
Mar 25, 20135 then
Private funds1 as of Mar 31, 2026
Mar 30, 20121 then
RAUM +3.5% over the last fiscal year+0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $19.5MderivedRAUM 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
- +3.5%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Pooled investment vehicles$32.1M55%
- Corporations and businesses$26.6M45%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.55 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••••• A•••••••• F••• | Hedge Fund | $29.0M | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- W••••••••• G••• P•••••• · Presidentcontrolsince 01/1991 · owns 75% or more
Related persons
Schedule D 7.A
- G•• W•••••••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $56.7M to $58.6MJun 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $30.9M to $32.1MJun 27, 2025 to Mar 31, 2026
- RAUM · $56.7M to $58.6MJun 27, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 27, 2025
- HQ city · unset to BEDFORD HILLSMar 29, 2024 to Mar 31, 2025
- HQ state · unset to NYMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $52.6M to $56.7MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $29.0M to $30.9MMar 29, 2024 to Mar 31, 2025
- RAUM · $52.6M to $56.7MMar 29, 2024 to Mar 31, 2025
- Other offices · 1 to 0Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $58.0M to $52.6MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $31.8M to $29.0MMar 31, 2023 to Mar 29, 2024
- RAUM · $58.0M to $52.6MMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $61.4M to $58.0MMay 18, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $35.6M to $31.8MMay 18, 2022 to Mar 31, 2023
- RAUM · $61.4M to $58.0MMay 18, 2022 to Mar 31, 2023
- Discretionary RAUM · $65.2M to $61.4MJun 9, 2021 to May 18, 2022
- Pooled vehicle RAUM · $35.0M to $35.6MJun 9, 2021 to May 18, 2022
- RAUM · $65.2M to $61.4MJun 9, 2021 to May 18, 2022
- Advisory employees · 3 to 1Mar 30, 2020 to Jun 9, 2021
- BD registered reps · 2 to 0Mar 30, 2020 to Jun 9, 2021
- Employees · 6 to 2Mar 30, 2020 to Jun 9, 2021
- Discretionary RAUM · $52.7M to $65.2MMar 30, 2020 to Jun 9, 2021
- Pooled vehicle RAUM · $28.4M to $35.0MMar 30, 2020 to Jun 9, 2021
- RAUM · $52.7M to $65.2MMar 30, 2020 to Jun 9, 2021
- Related broker-dealer · true to falseMar 30, 2020 to Jun 9, 2021
- BD registered reps · 3 to 2May 2, 2019 to Mar 30, 2020
- Employees · 4 to 6May 2, 2019 to Mar 30, 2020
- Discretionary RAUM · $51.6M to $52.7MMay 2, 2019 to Mar 30, 2020
- HNW RAUM · unset to 0.0May 2, 2019 to Mar 30, 2020
- Individual RAUM · unset to 0.0May 2, 2019 to Mar 30, 2020
- Pension RAUM · unset to 0.0May 2, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $27.5M to $28.4MMay 2, 2019 to Mar 30, 2020
- RAUM · $51.6M to $52.7MMay 2, 2019 to Mar 30, 2020
- Discretionary RAUM · $66.6M to $51.6MMar 15, 2018 to Mar 4, 2019
- Pooled vehicle RAUM · $35.2M to $27.5MMar 15, 2018 to Mar 4, 2019
- RAUM · $66.6M to $51.6MMar 15, 2018 to Mar 4, 2019
- Corporate clients · unset to 1.0Jul 21, 2017 to Mar 15, 2018
- Pooled vehicle clients · unset to 2.0Jul 21, 2017 to Mar 15, 2018
- Other offices · unset to 1.0Jul 21, 2017 to Mar 15, 2018
Signals
2 dated events
- Lynne Karin Wyser-Pratte (Director) no longer on Schedule A of W••••••••• M••••••••• C••• I••• (listed 2020-03-30, absent 2021-06-09)Jun 9, 2021 · Control person left · inference
- Louis Morin (Chief Operating Officer) no longer on Schedule A of W••••••••• M••••••••• C••• I••• (listed 2020-03-30, absent 2021-06-09)Jun 9, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 914 234 4930reportedpublic record, Form ADV, Mar 31, 2026
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
- Other 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