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.

Former SEC-registered adviser

W•••••••• J•••• • A••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 106861SEC 801-31832IAPD

Latest filing Aug 22, 2019

First filing on the tape Mar 15, 2012 · 25 filings

RAUM

$7.0B

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

88%

$6.2B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

14 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$246M gross assets

History

25 filings and snapshots on the tape

RAUM$7.0B as of Mar 22, 2019

Mar 15, 2012$3.7B then

HNW client RAUM$6.1B as of Mar 22, 2019

Feb 21, 2018$6.1B then

State-registered IARs (5.B.3)0 as of Mar 22, 2019

Feb 20, 20130 then

Employees (5.A)38 as of Mar 22, 2019

Feb 20, 201328 then

Private funds15 as of Mar 22, 2019

Mar 15, 201246 then

RAUM -2.7% over the last fiscal year+8.5% a year over threeIARs 0 to 0offices 0 to 1

Practice profile

derived from the filing of Aug 22, 2019; 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: $6.1MderivedHNW RAUM over HNW clients
Average account: $1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -2.7%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -2.5%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership: controlled by a public reporting companyderived
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)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$6.1B87%
Corporations and businesses$451M6.4%
Charitable organizations$280M4.0%
Pension and profit-sharing plans$104M1.5%
Individuals$101M1.4%

Individual clients: 232reported
HNW clients: 999reported
Pension plan clients: 29reported
Charitable clients: 61reported
Accounts: 3,974reported
Financial planning clients: 0reported
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

N•••• L•• K••••• to W••••••• J•••• W••••• M••••••••• L••
Aug 23, 2019 · RIA to RIA
W•••••• P•••••••• J••••• J•• to W••••••• J•••• W••••• M••••••••• L••
Aug 23, 2019 · RIA to RIA
D•••• A•••• R•••••••• to W••••••• J•••• W••••• M••••••••• L••
Aug 23, 2019 · RIA to RIA
T••••• H•••••• M•••••••• to W••••••• J•••• W••••• M••••••••• L••
Aug 23, 2019 · RIA to RIA
L•••• D••••• to B•••• M••• • O••••• L••
Jun 3, 2011 · Other

Joined, latest

none on the tape

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

4 left for W••••••• J•••• W••••• M••••••••• L••
Aug 23, 2019 · New York, Ny · Firm absorbed

Teams out Teams in

Private funds

41 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••	Hedge Fund	$11.6M	57	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••no longer reported	Hedge Fund	$7.6M	57	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I••no longer reported	Hedge Fund	$7.6M	54	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I••no longer reported	Hedge Fund	$6.4M	51	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I••no longer reported	Hedge Fund	$6.4M	52	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I••no longer reported	Hedge Fund	$3.7M	24	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••no longer reported	Hedge Fund	$1.4M	79	Feb 28, 2014
W•• A•••• I•no longer reported	Private Equity Fund	$1.4M	61	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••no longer reported	Hedge Fund	$1.2M	19	Mar 15, 2012
W•• A•••• V••no longer reported	Private Equity Fund	$1.1M	14	Mar 15, 2012
W•• A•••• V•	Private Equity Fund	$1.1M	75	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 5• T••••••• 2•no longer reported	Private Equity Fund	$918,277	35	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••	Hedge Fund	$895,502	7	Feb 23, 2015
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••no longer reported	Hedge Fund	$843,678	87	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••no longer reported	Hedge Fund	$828,145	32	Mar 15, 2012
D••••• F•••no longer reported	Private Equity Fund	$752,356	60	Mar 15, 2012
M••••• F•••no longer reported	Venture Capital Fund	$739,520	46	Mar 15, 2012
C••••• 3• F•••no longer reported	Venture Capital Fund	$532,875	18	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 5• T••••••• 3•no longer reported	Venture Capital Fund	$497,425	121	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••no longer reported	Hedge Fund	$328,012	16	Mar 15, 2012
W•• A•••• X•no longer reported	Private Equity Fund	$323,684	19	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 7• T••••••• 7•no longer reported	Hedge Fund	$319,279	72	Mar 15, 2012
W•• A•••• V•••no longer reported	Private Equity Fund	$299,935	97	Mar 15, 2012
M••••• F•••no longer reported	Venture Capital Fund	$291,133	46	Mar 23, 2016
W••••••• J•••• • A••••••••• H•••• F••• 5• T••••••• 5•	Venture Capital Fund	$280,075	93	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 1• T••••••• 6•no longer reported	Hedge Fund	$267,725	90	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I••no longer reported	Hedge Fund	$247,372	13	Mar 15, 2012
W•• A••••••••• I••••••••• S••••••••• I• L••• S••••• I•••no longer reported	Hedge Fund	$225,381	14	Mar 15, 2012
C••••• 3• F•••no longer reported	Venture Capital Fund	$202,125	17	Mar 15, 2012
W•• A•••• I••no longer reported	Private Equity Fund	$180,040	22	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 5• T••••••• 3•no longer reported	Venture Capital Fund	$117,807	89	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 5• T••••••• 2•no longer reported	Private Equity Fund	$81,438	6	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 8• T••••••• 7•no longer reported	Hedge Fund	$81,345	29	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 5• T••••••• 5•	Venture Capital Fund	$80,847	73	Mar 15, 2012
C••••• 2• F•••	Venture Capital Fund	$76,300	44	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 2• T••••••• 2•no longer reported	Venture Capital Fund	$68,311	61	Mar 15, 2012
W••••••• J•••• • A••••••••• H•••• F••• 1•no longer reported	Hedge Fund	$62,480	28	Mar 15, 2012
W•• A•••• X•no longer reported	Private Equity Fund	$39,706	20	Mar 15, 2012
M••••• F••• 2•no longer reported	Venture Capital Fund	$25,495	109	Mar 15, 2012
M••••• F••• 2•no longer reported	Venture Capital Fund	$8,505	71	Mar 15, 2012

All funds of W•••••••• J•••• • A••••••••• L••

Owners and control persons

Schedule A and B, latest filing

E••••• J•••• J••••• · President; Treasurer; Partnercontrol
since 08/1999 · owns 10% to 25%
J••••• J••• W••••••• P•••••••• · Chairman; Secretary; Partnercontrol
since 08/1999 · owns 10% to 25%
S••••••• J••• · Chief Legal Officer; Chief Compliance Officer; Partnercontrol
since 01/2005 · owns less than 5%
M••••••••• T•••••• H•••••• · Partner
since 12/2005 · owns 5% to 10%
M••••••••• M••••••• L••••• · Partner
since 12/2005 · owns 5% to 10%
T••••• B••••••• A•• · Partner
since 03/2016 · owns 10% to 25%
T•••••••• M••••••• C••••• · Partner
since 01/2012 · owns 5% to 10%

Entity owners

W•••••••• J•••• • A••••••••• I••• · Parent Company
direct · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Palm Beach, FL1 employees

What changed

consecutive filings, newest first

Assets in custody · 6989768132.0 to unset
Mar 22, 2019 to Aug 22, 2019
Custody of client assets · true to false
Mar 22, 2019 to Aug 22, 2019
Accounts · 3,839 to 3,974
Nov 14, 2018 to Mar 22, 2019
Advisory employees · 15 to 14
Nov 14, 2018 to Mar 22, 2019
Advisory activities · 3 to 4
Nov 14, 2018 to Mar 22, 2019
Charity clients · 30 to 61
Nov 14, 2018 to Mar 22, 2019
Corporate clients · 144 to 74
Nov 14, 2018 to Mar 22, 2019
HNW clients · 917 to 999
Nov 14, 2018 to Mar 22, 2019
Individual clients · 168 to 232
Nov 14, 2018 to Mar 22, 2019
Pension plan clients · 43 to 29
Nov 14, 2018 to Mar 22, 2019
Pooled vehicle clients · 20.0 to unset
Nov 14, 2018 to Mar 22, 2019
Assets in custody · $7.2B to $7.0B
Nov 14, 2018 to Mar 22, 2019
Other offices · 0 to 1
Nov 14, 2018 to Mar 22, 2019
Private funds · 21 to 15
Nov 14, 2018 to Mar 22, 2019
Discretionary RAUM · $6.5B to $6.8B
Nov 14, 2018 to Mar 22, 2019
HNW RAUM · $6.0B to $6.1B
Nov 14, 2018 to Mar 22, 2019
Individual RAUM · $44.7M to $101M
Nov 14, 2018 to Mar 22, 2019
Non-discretionary RAUM · $655M to $161M
Nov 14, 2018 to Mar 22, 2019
Pension RAUM · $94.7M to $104M
Nov 14, 2018 to Mar 22, 2019
Pooled vehicle RAUM · 289623126.0 to unset
Nov 14, 2018 to Mar 22, 2019
RAUM · $7.2B to $7.0B
Nov 14, 2018 to Mar 22, 2019
HNW clients · 1,263 to 917
Feb 21, 2018 to Mar 23, 2018
Individual clients · 0 to 168
Feb 21, 2018 to Mar 23, 2018
HNW RAUM · $6.1B to $6.0B
Feb 21, 2018 to Mar 23, 2018
Individual RAUM · $0 to $44.7M
Feb 21, 2018 to Mar 23, 2018
Accounts · 3,956 to 3,839
Apr 25, 2017 to Feb 21, 2018
Charity clients · unset to 30.0
Apr 25, 2017 to Feb 21, 2018
Corporate clients · unset to 144.0
Apr 25, 2017 to Feb 21, 2018
HNW clients · unset to 1263.0
Apr 25, 2017 to Feb 21, 2018
Individual clients · unset to 0.0
Apr 25, 2017 to Feb 21, 2018
Pension plan clients · unset to 43.0
Apr 25, 2017 to Feb 21, 2018
Pooled vehicle clients · unset to 20.0
Apr 25, 2017 to Feb 21, 2018
Assets in custody · $2.1B to $7.2B
Apr 25, 2017 to Feb 21, 2018
Financial planning clients · unset to 0
Apr 25, 2017 to Feb 21, 2018
Other offices · unset to 0.0
Apr 25, 2017 to Feb 21, 2018
Private funds · 31 to 21
Apr 25, 2017 to Feb 21, 2018
Discretionary RAUM · $6.2B to $6.5B
Apr 25, 2017 to Feb 21, 2018
HNW RAUM · unset to 6085190275.0
Apr 25, 2017 to Feb 21, 2018
Individual RAUM · unset to 0.0
Apr 25, 2017 to Feb 21, 2018
Non-discretionary RAUM · $425M to $655M
Apr 25, 2017 to Feb 21, 2018

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

W•••••••• J•••• • A••••••••• L•• · Private Equity
shared crd · organization
W•••••••• J•••• • A••••••••• L•• · Venture Capital
shared crd · organization

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