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.

Former SEC-registered adviser

W.P. Stewart Asset Management Ltd.

Former SEC-registered adviserNashville, TennesseeCRD 122046SEC 801-61428IAPD
Latest filing Mar 28, 2024
First filing on the tape Apr 2, 2012 · 26 filings
RAUM
$266M
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
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$266M as of Mar 28, 2024
Apr 2, 2012$515M then
HNW client RAUM$0 as of Mar 28, 2024
Mar 28, 2018$61.5M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 28, 20131 then
Employees (5.A)0 as of Mar 28, 2024
Mar 28, 201326 then
Private funds1 as of Mar 31, 2014
Apr 2, 20121 then
RAUM +16% over the last fiscal year+7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
$266MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+16%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$266M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Diniz Silvio Cruz · Executive Directorcontrol
        since 12/2013 · owns less than 5%
      • Christopher Kyle Digangi · Global Chief Compliance Officercontrol
        since 03/2020 · owns less than 5%
      • Randall Mark Manley · General Counsel & Corporate Secretarycontrol
        since 12/2013 · owns less than 5%
      • Joseph Bertrand Reimmel · Executive Directorcontrol
        since 12/2013 · owns less than 5%
      Entity owners
      • W.P. Stewart & Co., LLC · 100% Shareholder
        direct · owns 75% or more
      • Alliancebernstein Corporation Of Delaware · 100% Shareholder
        indirect · owns 75% or more of W.P. Stewart & Co., LLC
      • Alliancebernstein International LLC · 100% Shareholder
        indirect · owns 75% or more of Alliancebernstein Corporation Of Delaware
      • Alliancebernstein L.P. · 100% Shareholder
        indirect · owns 75% or more of Alliancebernstein International LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list W.P. Stewart Asset Management Ltd. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY209 employees
      What changed
      consecutive filings, newest first
      • Corporate clients · 1 to 4
        Mar 31, 2023 to Mar 28, 2024
      • Discretionary RAUM · $230M to $266M
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $230M to $266M
        Mar 31, 2023 to Mar 28, 2024
      • Accounts · 3 to 1
        Sep 12, 2022 to Mar 31, 2023
      • Corporate clients · 3 to 1
        Sep 12, 2022 to Mar 31, 2023
      • Financial planning clients · 0 to 1-10
        Sep 12, 2022 to Mar 31, 2023
      • Discretionary RAUM · $282M to $230M
        Sep 12, 2022 to Mar 31, 2023
      • RAUM · $282M to $230M
        Sep 12, 2022 to Mar 31, 2023
      • Accounts · 5 to 3
        Jul 20, 2021 to Mar 31, 2022
      • Pension plan clients · 1 to 0
        Jul 20, 2021 to Mar 31, 2022
      • Assets in custody · unset to 0.0
        Jul 20, 2021 to Mar 31, 2022
      • Financial planning clients · 1-10 to 0
        Jul 20, 2021 to Mar 31, 2022
      • Discretionary RAUM · $214M to $282M
        Jul 20, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $3.0M to $0
        Jul 20, 2021 to Mar 31, 2022
      • Pension RAUM · $3.0M to $0
        Jul 20, 2021 to Mar 31, 2022
      • RAUM · $217M to $282M
        Jul 20, 2021 to Mar 31, 2022
      • HQ city · NEW YORK to NASHVILLE
        Mar 31, 2021 to Jul 6, 2021
      • HQ state · NY to TN
        Mar 31, 2021 to Jul 6, 2021
      • Accounts · 8 to 5
        Jul 20, 2020 to Mar 31, 2021
      • Corporate clients · 5 to 3
        Jul 20, 2020 to Mar 31, 2021
      • HNW clients · 1 to 0
        Jul 20, 2020 to Mar 31, 2021
      • Discretionary RAUM · $238M to $214M
        Jul 20, 2020 to Mar 31, 2021
      • HNW RAUM · $32.3M to $0
        Jul 20, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $4.2M to $3.0M
        Jul 20, 2020 to Mar 31, 2021
      • Pension RAUM · $4.2M to $3.0M
        Jul 20, 2020 to Mar 31, 2021
      • RAUM · $242M to $217M
        Jul 20, 2020 to Mar 31, 2021
      • Accounts · 10 to 8
        Mar 29, 2019 to Mar 31, 2020
      • Corporate clients · 6 to 5
        Mar 29, 2019 to Mar 31, 2020
      • HNW clients · 2 to 1
        Mar 29, 2019 to Mar 31, 2020
      • Other offices · 0 to 1
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $228M to $238M
        Mar 29, 2019 to Mar 31, 2020
      • HNW RAUM · $49.4M to $32.3M
        Mar 29, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $3.3M to $4.2M
        Mar 29, 2019 to Mar 31, 2020
      • Pension RAUM · $3.3M to $4.2M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $231M to $242M
        Mar 29, 2019 to Mar 31, 2020
      • Accounts · 13 to 10
        Mar 28, 2018 to Mar 29, 2019
      • Charity clients · unset to 0.0
        Mar 28, 2018 to Mar 29, 2019
      • HNW clients · unset to 2.0
        Mar 28, 2018 to Mar 29, 2019
      • Individual clients · unset to 0.0
        Mar 28, 2018 to Mar 29, 2019
      • Pension plan clients · unset to 1.0
        Mar 28, 2018 to Mar 29, 2019
      Signals
      4 dated events
      • Michael David Lesser (Corporate Secretary) no longer on Schedule A of W.P. Stewart Asset Management Ltd. (listed 2023-03-31, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Christopher Kyle Digangi (Chief Compliance Officer) appeared on Schedule A of W.P. Stewart Asset Management Ltd.
        Mar 31, 2022 · Control person joined · fact
      • Thomas Louis Mangan (Executive Director) no longer on Schedule A of W.P. Stewart Asset Management Ltd. (listed 2019-03-29, absent 2020-03-31)
        Mar 31, 2020 · Control person left · inference
      • W.P. Stewart Asset Management Ltd. reported 0 offices beyond its principal office, down from 23 (2017-12-15 to 2018-03-28)
        Mar 28, 2018 · Office count 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