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SEC-registered adviser

A••••• W•••• C•••••• I••••••••• L••

Asset manager (funds and pooled vehicles)Purchase, New YorkCRD 112496SEC 801-55110websiteIAPD
Latest filing Apr 21, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since Dec 16, 1997
RAUM
$181M
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
12
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$181M as of Apr 21, 2026
Mar 30, 2012$5.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 21, 2026
Mar 30, 20120 then
Employees (5.A)12 as of Apr 21, 2026
Mar 27, 201364 then
Private funds3 as of Apr 21, 2026
Mar 30, 20123 then
RAUM -50% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 21, 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
$45.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
35%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
-50%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
Custody
$117M, 3 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • Pooled investment vehicles$117M65%
  • Charitable organizations$63.9M35%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$117M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.65 institutional_share=0.35 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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• W•••• G••••• V•••••• L•••Hedge Fund$293M37Mar 30, 2012
      A••••• W•••• C•••••• R••••• M•••••• L•Hedge Fund$50.7M3May 15, 2020
      A••••• W•••• M••••••• M••••••Hedge Fund$46.6M4May 15, 2020
      A••••• W•••• G••••• V••••• F•••••••• E•••••••• L•••no longer reportedHedge Fund$11.6M16Mar 30, 2012
      A••••• W•••• G••••• G••••• V•••••• L•••no longer reportedHedge Fund$8.9M7Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• A•••••• M•••• · Chief Operating Officercontrol
        since 06/2008 · owns 25% to 50%
      • H••••••••• B••••• S•••• · Chief Investment Officercontrol
        since 06/2022 · owns 10% to 25%
      • H•••• S••••• M•••• · Chief M•••Et Strategistcontrol
        since 06/2022 · owns 10% to 25%
      • N•••••• S••••• C••••• · Chief Compliance Officercontrol
        since 05/2018 · owns less than 5%
      • S•••••••• M•••• T••••• · Chief Executive Officercontrol
        since 06/2022 · owns 25% to 50%
      • B•••• A•••••• M•••• · Membercontrol
        since 06/2022 · owns 25% to 50% of A••••• S•••• W•••• L••
      • S•••••••• M•••• T••••• · Membercontrol
        since 06/2022 · owns 25% to 50% of A••••• S•••• W•••• L••
      Entity owners
      • A••••• S•••• W•••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••• W•••• A•••••••• L••
        pooled vehicle sponsorn
      • A••••• W•••• M•••••• F•••• G• L••
        pooled vehicle sponsorn
      • A••••• S•••• W••••
        investment advisernRAUM $670M
      Advisers that list A••••• W•••• C•••••• I••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      2 against comparable advisers; where to look, not conclusions
      • high institutional concentrationStatic outlier · filing Apr 21, 2026
        institutional share of RAUM of 35% against a peer median of 0% (1568 comparable advisers, 100.0th percentile, 11.9 robust deviations)
        peers: asset managers, $100M to $500M (1,568) · 100% percentile
      • RAUM down 50 %Change between filings · filing Apr 21, 2026
        RAUM (Item 5.F) moved from $364,068,932 to $180,610,000 (-50.0%) between the annual amendments of 2025-03-31 and 2026-04-21; the peer median change was +4.0% (1145 comparable advisers, 3.0th percentile of changes)
        peers: asset managers, $100M to $500M (1,145) · 3.1% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 4
        Mar 31, 2025 to Mar 30, 2026
      • Assets in custody · $246M to $117M
        Mar 31, 2025 to Mar 30, 2026
      • Discretionary RAUM · $364M to $181M
        Mar 31, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $246M to $117M
        Mar 31, 2025 to Mar 30, 2026
      • RAUM · $364M to $181M
        Mar 31, 2025 to Mar 30, 2026
      • Accounts · 3 to 7
        Mar 27, 2024 to Mar 31, 2025
      • Assets in custody · $390M to $246M
        Mar 27, 2024 to Mar 31, 2025
      • Employees · 14 to 12
        Mar 27, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 31, 2025
      • Discretionary RAUM · $390M to $364M
        Mar 27, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $390M to $246M
        Mar 27, 2024 to Mar 31, 2025
      • RAUM · $390M to $364M
        Mar 27, 2024 to Mar 31, 2025
      • Assets in custody · $361M to $390M
        Dec 13, 2023 to Mar 27, 2024
      • Employees · 15 to 14
        Dec 13, 2023 to Mar 27, 2024
      • Discretionary RAUM · $361M to $390M
        Dec 13, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $361M to $390M
        Dec 13, 2023 to Mar 27, 2024
      • RAUM · $361M to $390M
        Dec 13, 2023 to Mar 27, 2024
      • Assets in custody · $513M to $361M
        Sep 20, 2022 to Mar 31, 2023
      • Employees · 17 to 15
        Sep 20, 2022 to Mar 31, 2023
      • Discretionary RAUM · $513M to $361M
        Sep 20, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $513M to $361M
        Sep 20, 2022 to Mar 31, 2023
      • RAUM · $513M to $361M
        Sep 20, 2022 to Mar 31, 2023
      • Assets in custody · $475M to $513M
        Mar 31, 2021 to Mar 28, 2022
      • Discretionary RAUM · $475M to $513M
        Mar 31, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $475M to $513M
        Mar 31, 2021 to Mar 28, 2022
      • RAUM · $475M to $513M
        Mar 31, 2021 to Mar 28, 2022
      • Assets in custody · $363M to $475M
        Jun 12, 2020 to Mar 31, 2021
      • Discretionary RAUM · $363M to $475M
        Jun 12, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $363M to $475M
        Jun 12, 2020 to Mar 31, 2021
      • RAUM · $363M to $475M
        Jun 12, 2020 to Mar 31, 2021
      • Accounts · 2 to 3
        Dec 12, 2019 to May 15, 2020
      • Advisory employees · 9 to 3
        Dec 12, 2019 to May 15, 2020
      • BD registered reps · 9 to 0
        Dec 12, 2019 to May 15, 2020
      • Pooled vehicle clients · 2 to 3
        Dec 12, 2019 to May 15, 2020
      • Assets in custody · $231M to $363M
        Dec 12, 2019 to May 15, 2020
      • Employees · 26 to 17
        Dec 12, 2019 to May 15, 2020
      • Private funds · 2 to 3
        Dec 12, 2019 to May 15, 2020
      • Discretionary RAUM · $231M to $363M
        Dec 12, 2019 to May 15, 2020
      • Pooled vehicle RAUM · $231M to $363M
        Dec 12, 2019 to May 15, 2020
      • RAUM · $231M to $363M
        Dec 12, 2019 to May 15, 2020
      Signals
      12 dated events
      • A••••• W•••• C•••••• I••••••••• L•• reported RAUM $180.6M, down 50% from $364.1M (2025-03-31 to 2026-03-30)
        Mar 30, 2026 · RAUM change · derived
      • Chanfu Joe Caruso (Chief Financial Officer) no longer on Schedule A of A••••• W•••• C•••••• I••••••••• L•• (listed 2023-03-31, absent 2023-12-13)
        Dec 13, 2023 · Control person left · inference
      • A••••• W•••• C•••••• I••••••••• L•• reported RAUM $360.9M, down 30% from $513.0M (2022-09-20 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Thomas Mark Spellman (Chief Executive Officer) appeared on Schedule A of A••••• W•••• C•••••• I••••••••• L••
        Sep 20, 2022 · Control person joined · fact
      • Marie Sarah Hunt (Chief Market Strategist) appeared on Schedule A of A••••• W•••• C•••••• I••••••••• L••
        Sep 20, 2022 · Control person joined · fact
      • Scott Brian Hennessey (Chief Investment Officer) appeared on Schedule A of A••••• W•••• C•••••• I••••••••• L••
        Sep 20, 2022 · Control person joined · fact
      • A••••• W•••• C•••••• I••••••••• L•• reported RAUM $475.0M, up 31% from $363.4M (2020-06-12 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Andrew Stephen Lieber (Member) no longer on Schedule A of A••••• W•••• C•••••• I••••••••• L•• (listed 2020-06-12, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • A••••• W•••• C•••••• I••••••••• L•• reported RAUM $363.4M, up 58% from $230.7M (2019-12-12 to 2020-05-15)
        May 15, 2020 · RAUM change · derived
      • Alfred Samuel Lieber (Chief Executive Officer) no longer on Schedule A of A••••• W•••• C•••••• I••••••••• L•• (listed 2019-03-29, absent 2019-07-30)
        Jul 30, 2019 · Control person left · inference
      • Chanfu Joe Caruso (Chief Financial Officer) appeared on Schedule A of A••••• W•••• C•••••• I••••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • A••••• W•••• C•••••• I••••••••• L•• reported RAUM $258.5M, down 94% from $4.1B (2018-03-29 to 2018-05-31)
        May 31, 2018 · 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
      Firm profile
      LINKEDIN.COM/COMPANY/A•••••-W••••-CAPITAL-INVESTORSreportedpublic record, Form ADV, Sep 21, 2026
      Website
      A•••••saxonwoods.COMreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      914-251-0880reportedpublic record, Form ADV, Apr 21, 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