DFX Intelligence

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W••• S••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser3 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $993M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $993M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -52%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2020-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -52% over the last fiscal year, to $993M.
2020-03-30
RAUM a year earlier $2.1BRAUM now $993M

Every filed figure, and the identifiersCRD 112578 · SEC 801-55147 · 16 filingsShow

CRD 112578SEC 801-55147First filing on the tape Mar 30, 2012, latest Mar 30, 2020IAPD

RAUM

$993M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$993M gross assets

History

16 filings and snapshots on the tape

RAUM$993M as of Mar 30, 2020

Mar 30, 2012$1.6B then

HNW client RAUM$0 as of Mar 30, 2020

Mar 29, 2018$0 then

State-registered IARs (5.B.3)0 as of Mar 30, 2020

Mar 28, 20130 then

Employees (5.A)11 as of Mar 30, 2020

Mar 28, 20139 then

Private funds3 as of Mar 30, 2020

Mar 30, 20122 then

RAUM -52% over the last fiscal year-35% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2020; 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: $110MderivedRAUM 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: -52%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 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

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)
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$993M100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 9reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
W•• M••••• F•••• L•••	Hedge Fund	$955M	23	Mar 30, 2012
W••• S••• S•••••• L••• M••••• F••• L•	Hedge Fund	$26.9M	9	May 29, 2015
W••• S••• C•••••••• C••• M••••• F••• L•	Hedge Fund	$10.6M	10	Feb 22, 2013
W••• S••• O••••••••• F•••• L•no longer reported	Other Private Fund	$2.3M	4	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

L••••••••• G•••• A•••• · Pres•••Nt And Managing Membercontrol
since 10/1997 · owns 75% or more
S••••••• G••••• · Chief Compliance Officercontrol
since 01/2020 · owns less than 5%

Related persons

Schedule D 7.A

A•••• I••
n
W•• G•• L••
bankpooled vehicle sponsorn
W••• S••• C•••••••• C••••• G•• L••
bankpooled vehicle sponsorn
W••• S••• S•••••• L••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 13 to 9
Mar 29, 2019 to Mar 30, 2020
Advisory employees · 5 to 6
Mar 29, 2019 to Mar 30, 2020
Advisory activities · 2 to 1
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle clients · 12 to 9
Mar 29, 2019 to Mar 30, 2020
Employees · 10 to 11
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $2.0B to $993M
Mar 29, 2019 to Mar 30, 2020
Non-discretionary RAUM · $39.4M to $0
Mar 29, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $2.0B to $993M
Mar 29, 2019 to Mar 30, 2020
RAUM · $2.1B to $993M
Mar 29, 2019 to Mar 30, 2020
Advisory employees · 6 to 5
Mar 29, 2018 to Mar 29, 2019
Employees · 11 to 10
Mar 29, 2018 to Mar 29, 2019
Discretionary RAUM · $3.9B to $2.0B
Mar 29, 2018 to Mar 29, 2019
Non-discretionary RAUM · $39.7M to $39.4M
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $3.9B to $2.0B
Mar 29, 2018 to Mar 29, 2019
RAUM · $4.0B to $2.1B
Mar 29, 2018 to Mar 29, 2019
Accounts · 15 to 13
May 17, 2017 to Mar 29, 2018
Advisory employees · 5 to 6
May 17, 2017 to Mar 29, 2018
Charity clients · unset to 0.0
May 17, 2017 to Mar 29, 2018
Corporate clients · unset to 0.0
May 17, 2017 to Mar 29, 2018
HNW clients · unset to 0.0
May 17, 2017 to Mar 29, 2018
Individual clients · unset to 0.0
May 17, 2017 to Mar 29, 2018
Pension plan clients · unset to 0.0
May 17, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 12.0
May 17, 2017 to Mar 29, 2018
Employees · 10 to 11
May 17, 2017 to Mar 29, 2018
Other offices · unset to 0.0
May 17, 2017 to Mar 29, 2018
Discretionary RAUM · $3.6B to $3.9B
May 17, 2017 to Mar 29, 2018
HNW RAUM · unset to 0.0
May 17, 2017 to Mar 29, 2018
Individual RAUM · unset to 0.0
May 17, 2017 to Mar 29, 2018
Non-discretionary RAUM · $9.4M to $39.7M
May 17, 2017 to Mar 29, 2018
Pension RAUM · unset to 0.0
May 17, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 3931717035.0
May 17, 2017 to Mar 29, 2018
RAUM · $3.6B to $4.0B
May 17, 2017 to Mar 29, 2018
Accounts · 14 to 15
May 19, 2016 to Mar 30, 2017
Assets in custody · 0.0 to unset
May 19, 2016 to Mar 30, 2017
Custody of client assets · true to false
May 19, 2016 to Mar 30, 2017
Employees · 11 to 10
May 19, 2016 to Mar 30, 2017
Discretionary RAUM · $2.5B to $3.6B
May 19, 2016 to Mar 30, 2017
Non-discretionary RAUM · $398,967 to $9.4M
May 19, 2016 to Mar 30, 2017
RAUM · $2.5B to $3.6B
May 19, 2016 to Mar 30, 2017
Accounts · 10 to 14
May 29, 2015 to Mar 29, 2016

Signals

5 dated events

••• Locked
Mar 30, 2020 · RAUM change · derived
••• Locked
Mar 30, 2020 · Control person left · inference
••• Locked
Mar 30, 2020 · Control person left · inference
••• Locked
Mar 30, 2020 · Control person joined · fact
••• Locked
Mar 29, 2019 · 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.

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