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Former SEC-registered adviser

W••••• C•••••• A•••• M••••••••• L••

Former SEC-registered adviserWest Palm Beach, FloridaCRD 111761SEC 801-60595IAPD
Latest filing Mar 30, 2012
First filing on the tape Feb 8, 2012 · 2 filings
RAUM
$219M
reported, Item 5.F
Discretionary
30%
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
$219M gross assets
History
2 filings and snapshots on the tape
RAUM$219M as of Mar 30, 2012
Feb 8, 2012$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds5 as of Mar 30, 2012
Feb 8, 20125 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
$24.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
30%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
$13.0M, 2 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$13.0M for 2 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Q•••••• O••••••••• F•••• L•••Hedge Fund$152M110Feb 8, 2012
      Q•••••• O••••••••• S••••••••• P•••••••• A•Hedge Fund$152M134Mar 30, 2012
      W••••• C•••••• P••••••• M••••• F••• I• L•••Hedge Fund$23.6M18Jun 26, 2013
      W•••••••• F•••• L•••• F•••••••• S•••••Hedge Fund$12.0M46Feb 8, 2012
      T•• W•••••••• F••• S••• C•••• C•Hedge Fund$10.8M57Feb 8, 2012
      W•••••••• F•••• L••• R••• E••••• F•••••••• S•••••Hedge Fund$1.0M1Feb 8, 2012
      T•• W•••••••• F••• S••• C•••• T•Hedge Fund$021Feb 8, 2012
      W•••••••• R••• E••••• F•••••••• M••••• F••• L•••Hedge Fund$01Mar 30, 2012
      W•••••••• F•••••••• M••••• F••• L•••Hedge Fund$070Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• C•••••• · Chief Financial Officercontrol
        since 01/2011 · owns less than 5%
      • H•••••• I••••••• A••••• · Presidentcontrol
        since 11/2000 · owns less than 5%
      • H•••••• A••••• · Ceocontrol
        since 09/1999 · owns 50% to 75% of W••••• C•••••• M••••••••• L••
      • W••••••• K••••• D•••• · Chief Operating Officer, Chief Compliance Officer And General Counsel
        since 12/2007 · owns less than 5%
      Entity owners
      • W••••• C•••••• M••••••••• L•• · Sole Member
        direct · owns 75% or more
      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 · 5 to 9
        Feb 8, 2012 to Mar 30, 2012
      • Advisory activities · 4 to 3
        Feb 8, 2012 to Mar 30, 2012
      • Discretionary RAUM · $54.6M to $66.6M
        Feb 8, 2012 to Mar 30, 2012
      • RAUM · $207M to $219M
        Feb 8, 2012 to Mar 30, 2012
      • Related bank · false to true
        Feb 8, 2012 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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