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.
SEC-registered adviser
W••••••••• C•••••• P•••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Feb 9, 2012 · 31 filings
SEC status approved since Feb 22, 2012
RAUM
$34.2M
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
0
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$34.2M as of Jun 24, 2026
Apr 1, 2013$86.6M then
HNW client RAUM$0 as of Jun 24, 2026
Mar 28, 2025$0 then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Apr 1, 20130 then
Employees (5.A)0 as of Jun 24, 2026
Apr 1, 201313 then
Private funds1 as of Jun 24, 2026
Apr 1, 20131 then
RAUM +20% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2026; 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
- $17.1MderivedRAUM 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
- +20%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
- 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)
- 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$34.2M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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 |
|---|---|---|---|---|
| W••••••••• C•••••• M••••• T•••• | Hedge Fund | $39.9M | 10 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• A•••• · Executive Vice Presidentcontrolsince 10/2021 · owns less than 5%
- A••••••• G•••••• R••••• · Chief Executive Officercontrolsince 10/2021 · owns less than 5%
- B•••••• R••• D•••••• · Co-President And Co-Chief Investment Officercontrolsince 10/2021 · owns less than 5%
- C•••••• C••••••••• J• · Chief Operations Officercontrolsince 10/2021 · owns less than 5%
- P••••••••• A••••• C•••••• · Executive Vice President And Chief Legal Officercontrolsince 11/2023 · owns less than 5%
- S••••••• M••••••• T••••• · Co-President And Co-Chief Investment Officercontrolsince 10/2021 · owns less than 5%
- S••••• R••••••• W•••••• · Executive Vice Presidentcontrolsince 10/2021 · owns less than 5%
- W•• C••••••••• L•• · Assistant Managing Director And Chief Compliance Officercontrolsince 10/2021 · owns less than 5%
Entity owners
- V••••• P•••••••• I••• · Sole Memberdirect · owns 75% or more
- V••••• I••••••••• P•••••••• I••• · Sole Shareholderindirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• G••••• L••investment adviserbanknRAUM $3.1B
- C•••••• V•••• A••••••• L••investment advisernRAUM $3.4B
- D••• • P••••• I••••••••• M••••••••• C••investment advisernRAUM $13B
- K•••• A••••••• R•••••• I••••••••• M••••••••• L••investment advisernRAUM $39B
- N•• I••••••••• G••••• L••investment advisernRAUM $3.0B
- S••• C•• M••••••••• G• L••pooled vehicle sponsorn
- S••• C•• M••••••••• L••investment advisernRAUM $336M
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $3.0B
- S••••••••• G••••• A•••••••• L•investment advisernRAUM $17B
- V••••• A••••••••• Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- V••••• Advisers, LLCinvestment adviserbanknRAUM $1.4B
- V••••• F•••• I••••• A•••••••• L••investment adviserbanknRAUM $35B
- V••••• Capital Advisers, LLCinvestment adviserbanknRAUM $1.5B
- V••••• G••••• P••••••• P••• L•••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- V••••• I••••••••• M••••••••• L••investment advisern
- V••••• Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- V• D••••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••investment adviserbanknRAUM $2.9B
Advisers that list W••••••••• C•••••• P•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $28.5M to $34.2MMay 6, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $28.5M to $34.2MMay 6, 2025 to Mar 30, 2026
- RAUM · $28.5M to $34.2MMay 6, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 6, 2025
- Charity clients · unset to 0.0May 7, 2024 to Mar 28, 2025
- Corporate clients · unset to 0.0May 7, 2024 to Mar 28, 2025
- HNW clients · unset to 0.0May 7, 2024 to Mar 28, 2025
- Individual clients · unset to 0.0May 7, 2024 to Mar 28, 2025
- Pension plan clients · unset to 0.0May 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $39.9M to $28.5MMay 7, 2024 to Mar 28, 2025
- HNW RAUM · unset to 0.0May 7, 2024 to Mar 28, 2025
- Individual RAUM · unset to 0.0May 7, 2024 to Mar 28, 2025
- Pension RAUM · unset to 0.0May 7, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $39.9M to $28.5MMay 7, 2024 to Mar 28, 2025
- RAUM · $39.9M to $28.5MMay 7, 2024 to Mar 28, 2025
- Accounts · 3 to 2Dec 7, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3 to 2Dec 7, 2023 to Mar 28, 2024
- Discretionary RAUM · $62.5M to $39.9MDec 7, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $62.5M to $39.9MDec 7, 2023 to Mar 28, 2024
- RAUM · $62.5M to $39.9MDec 7, 2023 to Mar 28, 2024
- Discretionary RAUM · $78.7M to $62.5MJun 7, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $78.7M to $62.5MJun 7, 2022 to Mar 30, 2023
- RAUM · $78.7M to $62.5MJun 7, 2022 to Mar 30, 2023
- Advisory employees · 7 to 0Oct 15, 2021 to Mar 31, 2022
- Employees · 14 to 0Oct 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $106M to $78.7MOct 15, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $106M to $78.7MOct 15, 2021 to Mar 31, 2022
- RAUM · $106M to $78.7MOct 15, 2021 to Mar 31, 2022
- BD registered reps · 3 to 0Aug 10, 2021 to Oct 15, 2021
- Employees · 18 to 14Aug 10, 2021 to Oct 15, 2021
- Discretionary RAUM · $94.3M to $106MAug 10, 2021 to Oct 15, 2021
- Pooled vehicle RAUM · $94.3M to $106MAug 10, 2021 to Oct 15, 2021
- RAUM · $94.3M to $106MAug 10, 2021 to Oct 15, 2021
- Related broker-dealer · false to trueAug 10, 2021 to Oct 15, 2021
- Discretionary RAUM · $68.7M to $94.3MJan 30, 2021 to Mar 31, 2021
- Pooled vehicle RAUM · $68.7M to $94.3MJan 30, 2021 to Mar 31, 2021
- RAUM · $68.7M to $94.3MJan 30, 2021 to Mar 31, 2021
- Discretionary RAUM · $63.2M to $68.7MMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $63.2M to $68.7MMar 29, 2019 to Mar 27, 2020
- RAUM · $63.2M to $68.7MMar 29, 2019 to Mar 27, 2020
Signals
9 dated events
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer) appeared on Schedule A of W••••••••• C•••••• P•••••••• L••Dec 7, 2023 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of W••••••••• C•••••• P•••••••• L•• (listed 2023-05-19, absent 2023-06-20)Jun 20, 2023 · Control person left · inference
- Robert George Aylward (Chief Executive Officer) appeared on Schedule A of W••••••••• C•••••• P•••••••• L••Oct 15, 2021 · Control person joined · fact
- Aaron Michael Angerthal (Executive Vice President) appeared on Schedule A of W••••••••• C•••••• P•••••••• L••Oct 15, 2021 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of W••••••••• C•••••• P•••••••• L••Oct 15, 2021 · Control person joined · fact
- William Richard Smirl (Executive Vice President) appeared on Schedule A of W••••••••• C•••••• P•••••••• L••Oct 15, 2021 · Control person joined · fact
- Jay Bruce Rubin (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of W••••••••• C•••••• P•••••••• L•• (listed 2021-05-07, absent 2021-08-10)Aug 10, 2021 · Control person left · inference
- Lee Casaundra Wu (Chief Compliance Officer) appeared on Schedule A of W••••••••• C•••••• P•••••••• L••Aug 10, 2021 · Control person joined · fact
- J Christopher Colomb (Chief Financial Officer) appeared on Schedule A of W••••••••• C•••••• P•••••••• L••Aug 10, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-741-5600reportedpublic record, Form ADV, Jun 24, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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