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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
W•••• C•••••• P••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Jul 1, 1996
RAUM
$506M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$244M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$506M as of Apr 30, 2026
Mar 30, 2012$341M then
HNW client RAUM$223M as of Apr 30, 2026
Mar 29, 2018$118M then
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Apr 30, 2026
Mar 26, 20136 then
Private funds1 as of Apr 30, 2026
Mar 30, 20123 then
RAUM n/a over the last fiscal year+14% a year over three
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $8.9MderivedHNW RAUM over HNW clients
- Average account
- $11.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- 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
- Pooled investment vehicles$250M49%
- High-net-worth individuals$223M44%
- Individuals$21.3M4.2%
- Charitable organizations$12.5M2.5%
- Individual clients
- 16reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 45reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.48 fund_share=0.49 institutional_share=0.02 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• E••••••••• F•••• L••• | Hedge Fund | $200M | 49 | Mar 30, 2012 |
| W•••• E••••••••• F•••• L•no longer reported | Hedge Fund | $65.0M | 27 | Mar 30, 2012 |
| W•••• E••••••••• F•••• L•••no longer reported | Hedge Fund | $14.6M | 8 | Mar 30, 2012 |
| W•• P• I• L••no longer reported | Other Private Fund | $5.0M | 4 | Mar 31, 2020 |
| W•• F••••• V•••••••• L••no longer reported | Other Private Fund | $3.0M | 4 | Mar 31, 2020 |
| V• 1•• W•••• L••no longer reported | Other Private Fund | $3.0M | 9 | Mar 31, 2020 |
| V• 1•• E•••• L••no longer reported | Other Private Fund | $1.2M | 10 | Mar 31, 2020 |
Owners and control persons
Schedule A and B, latest filing
- W••••• C••••••••• W••••• · President, Chief Compliance Officer, And Senior Portfolio Managercontrolsince 12/2000 · owns 25% to 50%
- W••••• L•••••••• B••••• · Chief Executive Officer And Senior Portfolio Managercontrolsince 05/1996 · owns 50% to 75%
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
- Discretionary RAUM · $481M to $506MMay 1, 2025 to Mar 31, 2026
- HNW RAUM · $211M to $223MMay 1, 2025 to Mar 31, 2026
- Individual RAUM · $19.1M to $21.3MMay 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $239M to $250MMay 1, 2025 to Mar 31, 2026
- RAUM · $481M to $506MMay 1, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Mar 28, 2024 to May 1, 2025
- Accounts · 43 to 45Mar 28, 2024 to May 1, 2025
- HNW clients · 23 to 25Mar 28, 2024 to May 1, 2025
- Employees · 3 to 4Mar 28, 2024 to May 1, 2025
- Financial planning clients · unset to Mar 28, 2024 to May 1, 2025
- Discretionary RAUM · $399M to $481MMar 28, 2024 to May 1, 2025
- HNW RAUM · $172M to $211MMar 28, 2024 to May 1, 2025
- Individual RAUM · $16.5M to $19.1MMar 28, 2024 to May 1, 2025
- Pooled vehicle RAUM · $200M to $239MMar 28, 2024 to May 1, 2025
- RAUM · $399M to $481MMar 28, 2024 to May 1, 2025
- HQ city · unset to HARRISONOct 10, 2023 to Mar 28, 2024
- HQ state · unset to NYOct 10, 2023 to Mar 28, 2024
- Discretionary RAUM · $339M to $399MOct 10, 2023 to Mar 28, 2024
- HNW RAUM · $145M to $172MOct 10, 2023 to Mar 28, 2024
- Individual RAUM · $15.9M to $16.5MOct 10, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $170M to $200MOct 10, 2023 to Mar 28, 2024
- RAUM · $339M to $399MOct 10, 2023 to Mar 28, 2024
- Discretionary RAUM · $487M to $339MApr 20, 2022 to Mar 31, 2023
- HNW RAUM · $208M to $145MApr 20, 2022 to Mar 31, 2023
- Individual RAUM · $19.1M to $15.9MApr 20, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $248M to $170MApr 20, 2022 to Mar 31, 2023
- RAUM · $487M to $339MApr 20, 2022 to Mar 31, 2023
- Accounts · 38 to 43Apr 27, 2021 to Apr 1, 2022
- HNW clients · 15 to 23Apr 27, 2021 to Apr 1, 2022
- Individual clients · 19 to 16Apr 27, 2021 to Apr 1, 2022
- Discretionary RAUM · $369M to $487MApr 27, 2021 to Apr 1, 2022
- HNW RAUM · $122M to $208MApr 27, 2021 to Apr 1, 2022
- Individual RAUM · $32.6M to $19.1MApr 27, 2021 to Apr 1, 2022
- Pooled vehicle RAUM · $203M to $248MApr 27, 2021 to Apr 1, 2022
- RAUM · $369M to $487MApr 27, 2021 to Apr 1, 2022
- Accounts · 47 to 38Mar 31, 2020 to Mar 31, 2021
- HNW clients · 19 to 15Mar 31, 2020 to Mar 31, 2021
- Individual clients · 20 to 19Mar 31, 2020 to Mar 31, 2021
- Pooled vehicle clients · 5 to 1Mar 31, 2020 to Mar 31, 2021
- Assets in custody · 202785087.0 to unsetMar 31, 2020 to Mar 31, 2021
Signals
3 dated events
- W•••• C•••••• P••••••• L•• reported RAUM $339.3M, down 30% from $486.8M (2022-04-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- W•••• C•••••• P••••••• L•• reported RAUM $486.8M, up 32% from $368.6M (2021-04-27 to 2022-04-01)Apr 1, 2022 · RAUM change · derived
- W•••• C•••••• P••••••• L•• reported RAUM $389.9M, up 47% from $265.0M (2019-03-22 to 2020-03-31)Mar 31, 2020 · RAUM change · derived
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
- Business phone
- 212-754-6077reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-754-6495reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- W••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-754-6077reportedpublic record, Form ADV, Apr 30, 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
- Wealth manager with institutional or fund businessderiveda 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