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
West Gate Advisors, LLC
Latest filing Sep 26, 2014
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$2.4M
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.4M gross assets
History
9 filings and snapshots on the tape
RAUM$2.4M as of Sep 26, 2014
Sep 27, 2012$1.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 26, 2014
Sep 27, 20120 then
Employees (5.A)8 as of Sep 26, 2014
Sep 26, 20137 then
Private funds1 as of Sep 26, 2014
Sep 27, 20121 then
RAUM +7.9% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 26, 2014; 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
- $2.4MderivedRAUM 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
- +7.9%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
- Custody
- $2.4M, 1 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4M for 1 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| West Gate Strategic Income Fund I Master Fund, Ltd. | Hedge Fund | $2.4M | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Stephen David Devito · Chief Financial Officercontrolsince 11/2010 · owns less than 5%
- Alan Jeffrey Engelsman · Global Chief Compliance Officercontrolsince 08/2014 · owns less than 5%
- Brian David Lippman · Chief Executive Officercontrolsince 06/2008 · owns less than 5%
- Cal Rivelle · Chief Operating Officercontrolsince 06/2008 · owns less than 5%
- Tad Rivelle · Chief Investment Officercontrolsince 03/2005 · owns less than 5%
- Elias William Conway · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
- Anthony Daniel D'Aniello · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
- Mark David Rubenstein · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of Dbd Cayman Holdings, Ltd.
Entity owners
- Metropolitan West Asset Management LLC · Memberdirect · owns 75% or more
- Carlyle Financial Services Harbor, L.P. · Limited Partnerindirect · owns 25% to 50% of Clipper Holding, L.P.
- Carlyle Financial Services Holdings, Ltd. · General Partnerindirect · owns F of Tcg Financial Services Investment Holdings, L.P.
- Carlyle Financial Services, Ltd. · General Partnerindirect · owns F of Tcg Financial Services, L.P.
- Carlyle Global Financial Services Partners, L.P. · Limited Partnerindirect · owns 75% or more of Carlyle Financial Services Harbor, L.P.
- Carlyle Global Financial Services Partners, L.P. · Sole Memberindirect · owns 75% or more of Clipper Gp, L.L.C.
- Carlyle Group Management L.L.C. · General Partnerindirect · owns F of The Carlyle Group L.P.
- Carlyle Holdings II Gp, L.L.C. · General Partnerindirect · owns F of Carlyle Holdings II, L.P.
- Carlyle Holdings II, L.P. · General Partnerindirect · owns F of Tc Group Cayman Investment Holdings, L.P.
- Carlyle Offshore Partners II Holdings, Ltd. · Memberindirect · owns 75% or more of Carlyle Offshore Partners II, Ltd.
- Carlyle Offshore Partners II, Ltd. · Voting Memberindirect · owns 75% or more of Dbd Cayman Holdings, Ltd.
- Carlyle Partners V, L.P. · Limited Partnerindirect · owns 25% to 50% of Clipper Holding, L.P.
- Clipper Acquisitions Corp. · Shareholderindirect · owns 75% or more of The Tcw Group, Inc.
- Clipper Gp, L.L.C. · General Partnerindirect · owns F of Clipper Holding, L.P.
- Clipper Holding, L.P. · Shareholderindirect · owns 75% or more of Clipper Intermediate Corp.
- Clipper Intermediate Corp. · Shareholderindirect · owns 75% or more of Clipper Acquisitions Corp.
- Cp V Ilp Gp, Ltd. · General Partnerindirect · owns F of Cp V Investment Holdings L.P.
- Cp V Investment Holdings L.P. · Limited Partnerindirect · owns 25% to 50% of Tc Group V, L.P.
- Dbd Cayman Holdings, Ltd. · Memberindirect · owns 75% or more of Dbd Cayman, Ltd.
- Dbd Cayman, Ltd. · General Partnerindirect · owns F of Tcg Holdings Cayman II, L.P.
Related persons
Schedule D 7.A
- Asiavest Partners, Tcw/Yfy Ltd.investment adviserpooled vehicle sponsorn
- Bf IV Advisors, LPpooled vehicle sponsorn
- Bf V Advisors, LLCpooled vehicle sponsorn
- Bf Vi Advisors, LLCpooled vehicle sponsorn
- Buchanan Investment Advisors, LLCpooled vehicle sponsorn
- Buchanan Investors II, LPpooled vehicle sponsorn
- Buchanan Street Partners, L.P.investment adviserpooled vehicle sponsornRAUM $1.6B
- Buchanan Urban Investors II, LLCpooled vehicle sponsorn
- Crescent/Mach I Gp Corporationpooled vehicle sponsorn
- Hpp General Partner, LLCpooled vehicle sponsorn
- Metropolitan West Asset Management LLCinvestment adviserbankpooled vehicle sponsoryRAUM $79B
- P.T. Bahana Tcw Investment Managementpooled vehicle sponsorn
- Regiment Capital V Gp, LPpooled vehicle sponsorn
- Tcw (Linc II) LPpooled vehicle sponsorn
- Tcw (Linc IV) LLCpooled vehicle sponsorn
- Tcw (Shop II) L.P.pooled vehicle sponsorn
- Tcw (Shop III) L.P.pooled vehicle sponsorn
- Tcw (Shop IV) LLCpooled vehicle sponsorn
- Tcw (Shop V) LLCpooled vehicle sponsorn
- Tcw Advisors (Bermuda) LLCpooled vehicle sponsorn
- Tcw Asia Limitedbroker-dealern
- Tcw Asset Management Company LLCinvestment adviserbankpooled vehicle sponsornRAUM $81B
- Tcw Asset Management Company International Limitedpooled vehicle sponsorn
- Tcw Funds Distributorsbroker-dealern
- Tcw Investment Management Company LLCinvestment adviserbankpooled vehicle sponsornRAUM $39B
- Tcw Special Mortgage Credits Fund II Gp LLCpooled vehicle sponsorn
- Tcw Special Situations, LLCinvestment advisernRAUM $21.6M
- Tcw-Wla Jv Venture LLCinvestment advisernRAUM $1.0M
- Tcw/Craton II Gp, LLCpooled vehicle sponsorn
- Tcw/Crescent Mezzanine III, LLCpooled vehicle sponsorn
Advisers that list West Gate Advisors, LLC as a related person
- 113634 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $2.2M to $2.4MSep 26, 2013 to Sep 26, 2014
- Employees · 7 to 8Sep 26, 2013 to Sep 26, 2014
- Discretionary RAUM · $2.2M to $2.4MSep 26, 2013 to Sep 26, 2014
- RAUM · $2.2M to $2.4MSep 26, 2013 to Sep 26, 2014
- Advisory employees · 7 to 6May 9, 2013 to Sep 26, 2013
- Assets in custody · $1.9M to $2.2MMay 9, 2013 to Sep 26, 2013
- Employees · 8 to 7May 9, 2013 to Sep 26, 2013
- Discretionary RAUM · $2.3M to $2.2MMay 9, 2013 to Sep 26, 2013
- RAUM · $2.3M to $2.2MMay 9, 2013 to Sep 26, 2013
- Discretionary RAUM · $1.9M to $2.3MFeb 26, 2013 to May 9, 2013
- RAUM · $1.9M to $2.3MFeb 26, 2013 to May 9, 2013
- Advisory employees · unset to 7.0Sep 27, 2012 to Feb 25, 2013
- BD registered reps · unset to 7.0Sep 27, 2012 to Feb 25, 2013
- Employees · unset to 8.0Sep 27, 2012 to Feb 25, 2013
- Assets in custody · $1.5M to $1.9MJun 6, 2012 to Sep 27, 2012
- Insurance-licensed employees · 3 to 2Jun 6, 2012 to Sep 27, 2012
- Discretionary RAUM · $1.5M to $1.9MJun 6, 2012 to Sep 27, 2012
- RAUM · $1.5M to $1.9MJun 6, 2012 to Sep 27, 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