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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

W••••••••• A•••••••• L••

Former SEC-registered adviserMount Olive, New JerseyCRD 135601SEC 801-64305IAPD
Latest filing Jun 25, 2019
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$6
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
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$4 gross assets
History
12 filings and snapshots on the tape
RAUM$208M as of Mar 29, 2019
Mar 30, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)7 as of Mar 29, 2019
Apr 1, 20138 then
Private funds2 as of Mar 29, 2019
Mar 30, 20122 then
RAUM -100% over the last fiscal year-100% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Jun 25, 2019; 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
$2derivedRAUM 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
-48%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • 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)
  • 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$467%
  • Investment companies$233%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••••••• P••••••• O••••••• M••••• F•••• L•••Hedge Fund$23Mar 30, 2012
      W••••••••• P••••••• F•••• L•Hedge Fund$20Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• E••••••••• N••••• · Managing Member / Chief Operating Officer / Chief Compliance Officercontrol
        since 06/2019 · owns 5% to 10%
      • G••••• K••••• L•••••• · Assistant Vice Presidentcontrol
        since 07/2010 · owns less than 5%
      • G••••• S•••••• E••••• · Vice Presidentcontrol
        since 12/2005 · owns less than 5%
      • W••••••• D••••• J••• · Managing Member / Chief Executive Officercontrol
        since 05/2005 · owns 75% or more
      Related persons
      Schedule D 7.A
      • W••••••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Boca Raton, FL1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $208M to $6
        Mar 29, 2019 to Jun 25, 2019
      • Pooled vehicle RAUM · $55.7M to $4
        Mar 29, 2019 to Jun 25, 2019
      • RAUM · $208M to $6
        Mar 29, 2019 to Jun 25, 2019
      • BD registered reps · 2 to 0
        Sep 24, 2018 to Mar 29, 2019
      • State-registered IARs · 2 to 0
        Sep 24, 2018 to Mar 29, 2019
      • Discretionary RAUM · $402M to $208M
        Sep 24, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $67.2M to $55.7M
        Sep 24, 2018 to Mar 29, 2019
      • RAUM · $402M to $208M
        Sep 24, 2018 to Mar 29, 2019
      • HQ city · MOUNTAIN LAKES to MOUNT OLIVE
        Mar 29, 2018 to Sep 24, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $549M to $402M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 67218000.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $549M to $402M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 5 to 3
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 0 to 2
        Mar 30, 2016 to Mar 31, 2017
      • State-registered IARs · 0 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $869M to $549M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $869M to $549M
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.7B to $869M
        Jul 21, 2015 to Mar 30, 2016
      • RAUM · $1.7B to $869M
        Jul 21, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 3
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 8 to 7
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $2.2B to $1.7B
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $2.2B to $1.7B
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $2.3B to $2.2B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $2.3B to $2.2B
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 4.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 8.0
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $2.2B to $2.3B
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $2.2B to $2.3B
        Mar 30, 2012 to Apr 1, 2013
      Signals
      4 dated events
      • W••••••••• A•••••••• L•• reported RAUM $6, down 100% from $207.6M (2019-03-29 to 2019-06-25)
        Jun 25, 2019 · RAUM change · derived
      • Terry Fred Perlstadt (Chief Financial Officer / Chief Compliance Officer) no longer on Schedule A of W••••••••• A•••••••• L•• (listed 2019-03-29, absent 2019-06-25)
        Jun 25, 2019 · Control person left · inference
      • W••••••••• A•••••••• L•• reported RAUM $207.6M, down 48% from $401.6M (2018-09-24 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • W••••••••• A•••••••• L•• reported RAUM $401.6M, down 27% from $548.8M (2017-03-31 to 2018-03-29)
        Mar 29, 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.
      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