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••••••••• A••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 28, 2012 · 21 filings
SEC status approved since Jan 26, 1993
RAUM
$31.2M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$31.2M as of Mar 27, 2026
Mar 28, 2012$929M then
HNW client RAUM$0 as of Mar 27, 2026
Mar 17, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 22, 20130 then
Employees (5.A)1 as of Mar 27, 2026
Mar 22, 201315 then
Private funds3 as of Mar 27, 2026
Mar 28, 20123 then
RAUM -31% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $10.4MderivedRAUM 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
- -31%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 assets, performance-basedreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$31.2M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• D••••••••• O••••••••• F•••• L••• | Private Equity Fund | $30.1M | 173 | Mar 28, 2012 |
| W••••••••• O••••••• D••••••••• O••••••••• F•••• L••• | Private Equity Fund | $19.6M | 49 | Mar 28, 2012 |
| W••••••••• I••••••••• P•••••••• L••• | Private Equity Fund | $9.3M | 3 | Mar 28, 2012 |
| W••••••••• C••••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $1.4M | 11 | Mar 28, 2014 |
| W••••••••• L••• O••••••••• F•••• L•••no longer reported | Hedge Fund | $951,206 | 3 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• S••••••• F••••••• · President, Director, And Principalcontrolsince 12/1990 · owns 75% or more
- E••••••••• R••••••• I• · Counsel And Chief Compliance Officersince 02/2018 · owns less than 5%
Related persons
Schedule D 7.A
- W••••••••• D••••••••• O••••••••• F••• G•• L••pooled vehicle sponsory
- W••••••••• I••••••••• P••••••• G•• L••pooled vehicle sponsory
Advisers that list W••••••••• A••••••••• I•• as a related person
- 226644 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $44.9M to $31.2MMar 17, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $44.9M to $31.2MMar 17, 2025 to Mar 27, 2026
- RAUM · $44.9M to $31.2MMar 17, 2025 to Mar 27, 2026
- Accounts · 5 to 3Mar 29, 2024 to Mar 17, 2025
- Charity clients · 1 to 0Mar 29, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 17, 2025
- Discretionary RAUM · $67.8M to $44.9MMar 29, 2024 to Mar 17, 2025
- HNW RAUM · unset to 0.0Mar 29, 2024 to Mar 17, 2025
- Individual RAUM · unset to 0.0Mar 29, 2024 to Mar 17, 2025
- Pension RAUM · unset to 0.0Mar 29, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $59.0M to $44.9MMar 29, 2024 to Mar 17, 2025
- RAUM · $67.8M to $44.9MMar 29, 2024 to Mar 17, 2025
- Discretionary RAUM · $64.5M to $67.8MMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $57.4M to $59.0MMar 30, 2023 to Mar 29, 2024
- RAUM · $64.5M to $67.8MMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $70.9M to $64.5MMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $64.6M to $57.4MMar 29, 2022 to Mar 30, 2023
- RAUM · $70.9M to $64.5MMar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $46.5M to $70.9MMar 25, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $40.0M to $64.6MMar 25, 2021 to Mar 29, 2022
- RAUM · $46.5M to $70.9MMar 25, 2021 to Mar 29, 2022
- Discretionary RAUM · $76.1M to $46.5MApr 30, 2020 to Mar 25, 2021
- Pooled vehicle RAUM · $66.2M to $40.0MApr 30, 2020 to Mar 25, 2021
- RAUM · $76.1M to $46.5MApr 30, 2020 to Mar 25, 2021
- Discretionary RAUM · $82.6M to $76.1MSep 18, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $71.1M to $66.2MSep 18, 2019 to Mar 30, 2020
- RAUM · $82.6M to $76.1MSep 18, 2019 to Mar 30, 2020
- Discretionary RAUM · $76.2M to $82.6MMar 29, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $65.0M to $71.1MMar 29, 2018 to Mar 27, 2019
- RAUM · $76.2M to $82.6MMar 29, 2018 to Mar 27, 2019
- Discretionary RAUM · $76.2M to $76.2MFeb 16, 2018 to Mar 29, 2018
- Pooled vehicle RAUM · $65.0M to $65.0MFeb 16, 2018 to Mar 29, 2018
- RAUM · $76.2M to $76.2MFeb 16, 2018 to Mar 29, 2018
- Advisory employees · 2 to 1Mar 30, 2017 to Feb 16, 2018
- Charity clients · unset to 1.0Mar 30, 2017 to Feb 16, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Feb 16, 2018
- HNW clients · unset to 0.0Mar 30, 2017 to Feb 16, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Feb 16, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Feb 16, 2018
- Pooled vehicle clients · unset to 3.0Mar 30, 2017 to Feb 16, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- W••••••••• A••••••••• I•• · Independent Sponsorsshared crd · capital_provider
- W••••••••• A••••••••• I•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 914-683-1002reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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