DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• C•••• S••••••••• L••

Former SEC-registered adviserCRD 135351SEC 801-65773IAPD

Legal name C••••• C•••• A••••••••• L••

Latest filing Mar 7, 2023

First filing on the tape Mar 30, 2012 · 30 filings

RAUM

$1.4B

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

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$1.4B gross assets

History

30 filings and snapshots on the tape

RAUM$1.4B as of Mar 7, 2023

Mar 30, 2012$2.3B then

HNW client RAUM$0 as of Mar 7, 2023

Mar 24, 2020$0 then

State-registered IARs (5.B.3)0 as of Mar 7, 2023

Mar 30, 20120 then

Employees (5.A)10 as of Mar 7, 2023

Apr 1, 201318 then

Private funds3 as of Mar 7, 2023

Mar 30, 20122 then

RAUM -39% over the last fiscal year+17% a year over threeIARs 0 to 0offices 4 to 2

Practice profile

derived from the filing of Mar 7, 2023; 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: $228MderivedRAUM 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: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: -39%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: $1.4B, 6 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)
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

Pooled investment vehicles$1.4B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 6reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $1.4B for 6 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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
C• A•• W•••• L••	Hedge Fund	$918M	2	May 16, 2013
C• A••••••••• L•••	Hedge Fund	$282M	18	Mar 30, 2012
C••••• C•••• S••• F•••• L••	Hedge Fund	$165M	13	Mar 24, 2021
C• A•• S•• I• L•••no longer reported	Hedge Fund	$74.6M	7	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

W••••• A••••• D•••• · Chief Investment Officercontrol
since 02/2004 · owns less than 5%
W••••• A••••• D•••• · Limited Partnercontrol
since 01/2021 · owns 50% to 75% of W•• C•••••• H•••••• L•••
W••••• A••••• D•••• · Sole Membercontrol
since 01/2021 · owns 75% or more of W•• C••••••• L••
F•••••••• P••••• C••••••• · Portfolio Manager And Indirect Owner
since 01/2005 · owns less than 5%
P•••• C••••••••• M•••• · Chief Financial Officer/ Chief Compliance Officer
since 11/2005 · owns less than 5%
F•••••••• P••••• C••••••• · Limited Partner
since 01/2021 · owns 25% to 50% of W•• C•••••• H•••••• L•••

Entity owners

W•• C•••••• H•••••• L••• · Parent Company
direct · owns 75% or more
W•• C••••••• L•• · General Partner
indirect · owns F of W•• C•••••• H•••••• L•••

Related persons

Schedule D 7.A

C• A•• G••••• L•••
investment advisery
W•• C•••••• H•••••• L•••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Advisory employees · 4 to 3
Mar 15, 2022 to Mar 7, 2023
Assets in custody · $2.2B to $1.4B
Mar 15, 2022 to Mar 7, 2023
Employees · 11 to 10
Mar 15, 2022 to Mar 7, 2023
Other offices · 4 to 2
Mar 15, 2022 to Mar 7, 2023
Discretionary RAUM · $2.2B to $1.4B
Mar 15, 2022 to Mar 7, 2023
Pooled vehicle RAUM · $2.2B to $1.4B
Mar 15, 2022 to Mar 7, 2023
RAUM · $2.2B to $1.4B
Mar 15, 2022 to Mar 7, 2023
Assets in custody · $2.2B to $2.2B
Dec 14, 2021 to Mar 15, 2022
HQ city · CHICAGO to unset
Dec 14, 2021 to Mar 15, 2022
HQ state · IL to unset
Dec 14, 2021 to Mar 15, 2022
Other offices · 5 to 4
Dec 14, 2021 to Mar 15, 2022
Discretionary RAUM · $2.2B to $2.2B
Dec 14, 2021 to Mar 15, 2022
Pooled vehicle RAUM · $2.2B to $2.2B
Dec 14, 2021 to Mar 15, 2022
RAUM · $2.2B to $2.2B
Dec 14, 2021 to Mar 15, 2022
Other offices · 4 to 5
Sep 7, 2021 to Dec 14, 2021
Other offices · 3 to 4
Mar 24, 2021 to Sep 7, 2021
Accounts · 4 to 6
Feb 8, 2021 to Mar 24, 2021
Business name · C••••• C•••• A••••••••• L•• to C••••• C•••• S••••••••• L••
Feb 8, 2021 to Mar 24, 2021
Pooled vehicle clients · 4 to 6
Feb 8, 2021 to Mar 24, 2021
Assets in custody · $844M to $2.2B
Feb 8, 2021 to Mar 24, 2021
Employees · 10 to 11
Feb 8, 2021 to Mar 24, 2021
Other offices · 1 to 3
Feb 8, 2021 to Mar 24, 2021
Private funds · 2 to 3
Feb 8, 2021 to Mar 24, 2021
Discretionary RAUM · $844M to $2.2B
Feb 8, 2021 to Mar 24, 2021
Pooled vehicle RAUM · $844M to $2.2B
Feb 8, 2021 to Mar 24, 2021
RAUM · $844M to $2.2B
Feb 8, 2021 to Mar 24, 2021
Related adviser · false to true
Feb 8, 2021 to Mar 24, 2021
Other offices · 2 to 1
Apr 14, 2020 to Jul 16, 2020
Accounts · 5 to 4
Jun 7, 2019 to Mar 24, 2020
Charity clients · unset to 0.0
Jun 7, 2019 to Mar 24, 2020
Corporate clients · unset to 0.0
Jun 7, 2019 to Mar 24, 2020
HNW clients · unset to 0.0
Jun 7, 2019 to Mar 24, 2020
Individual clients · unset to 0.0
Jun 7, 2019 to Mar 24, 2020
Pension plan clients · unset to 0.0
Jun 7, 2019 to Mar 24, 2020
Pooled vehicle clients · 5 to 4
Jun 7, 2019 to Mar 24, 2020
Assets in custody · $773M to $844M
Jun 7, 2019 to Mar 24, 2020
Other offices · 1 to 2
Jun 7, 2019 to Mar 24, 2020
Private funds · 3 to 2
Jun 7, 2019 to Mar 24, 2020
Discretionary RAUM · $773M to $844M
Jun 7, 2019 to Mar 24, 2020
HNW RAUM · unset to 0.0
Jun 7, 2019 to Mar 24, 2020

Signals

3 dated events

C••••• C•••• S••••••••• L•• reported RAUM $1.4B, down 39% from $2.2B (2022-03-15 to 2023-03-07)
Mar 7, 2023 · RAUM change · derived
C••••• C•••• S••••••••• L•• reported RAUM $2.2B, up 158% from $843.9M (2021-02-08 to 2021-03-24)
Mar 24, 2021 · RAUM change · derived
C••••• C•••• S••••••••• L•• reported RAUM $773.4M, down 67% from $2.4B (2018-05-02 to 2019-03-25)
Mar 25, 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