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•••• M••••••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 136150SEC 801-71151websiteIAPD
Latest filing Oct 3, 2024
First filing on the tape Mar 29, 2012 · 44 filings
SEC status approved since Mar 16, 2010
RAUM
$7.3B
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
110
55 advisory (5.B.1)
Offices
13
beyond the principal office
Private funds
4
$3.9B gross assets
History
44 filings and snapshots on the tape
RAUM$7.3B as of Mar 25, 2024
Mar 29, 2012$5.5B then
HNW client RAUM$0 as of Mar 25, 2024
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Mar 25, 20130 then
Employees (5.A)110 as of Mar 25, 2024
Mar 25, 2013150 then
Private funds4 as of Mar 25, 2024
Mar 29, 20125 then
RAUM +13% over the last fiscal year-5.0% a year over threeIARs 0 to 0offices 14 to 13
Practice profile
derived from the filing of Oct 3, 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
$489MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived14 offices incl. principal (1.F.5)
RAUM growth, one year
+13%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$3.9B, 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$5.0B68%
  • Pooled investment vehicles$2.0B27%
  • Investment companies$366M5.0%
  • Charitable organizations$11.2M0.2%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.9B 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 departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••• R••••••••• P••••••• •••••••• L•Hedge Fund$1.9B1Mar 29, 2023
      W•••• M••••••••• P••••••• L••Hedge Fund$1.6B25Mar 29, 2012
      W•••• E••••• S••••••••• F••• L••no longer reportedHedge Fund$435M1Mar 29, 2012
      W•••• M••••••••• P••••••• I• L••no longer reportedHedge Fund$433M18Mar 29, 2012
      W•••• I•••••••• P••••••• ••••••• L••no longer reportedHedge Fund$420M1May 27, 2015
      W•••• E••••••• G••••• M•••• F••• L••Hedge Fund$257M65Mar 29, 2019
      O•• A••••••••• L••Hedge Fund$147M1Mar 29, 2012
      W•••• M•••• S••••••••• F••• L••no longer reportedHedge Fund$115M3Mar 29, 2012
      W•••• M•• C••••• F••• L••no longer reportedHedge Fund$109M2Mar 30, 2022
      W•••• A•••• B••••••• R••• F••• L••no longer reportedHedge Fund$8.8M3Jun 15, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• P••••• · Senior Vice President, Chief Operating Officercontrol
        since 01/2020 · owns less than 5%
      • C••••••• S••••• A•••••• · Chief Financial Officercontrol
        since 08/2019 · owns less than 5%
      • D••••••••• J••••••• D••••• · General Counsel, Chief Compliance Officer, Senior Vice Presidentcontrol
        since 05/2009 · owns less than 5%
      • E••••••• M••••••• A••• · Executive Committee Member, Chief Administrative Officer, Deputy Chief Investment Officercontrol
        since 06/2020 · owns less than 5%
      • V•••••• J••••• C•••••• · Executive Committee Member, Presidentcontrol
        since 07/2008 · owns less than 5%
      • W••••• G•••••• A•••• · Manager, Chief Executive Officer, Executive Committee Membercontrol
        since 05/2005 · owns less than 5%
      • D••••••••• J••••••• D••••• · Trustee - Irr•••••••• Trust Fbo Deborah W•••• & Allison W••••S, Membercontrol
        since 11/2014 · owns 50% to 75% of W•••• F••••• I•••••••• L••
      • W••••• G•••••• A•••• · Trusteecontrol
        since 04/1999 · owns 75% or more of G••••• A• W•••• R•••••••• T••••
      Entity owners
      • G••• L•• · Member
        direct · owns 75% or more
      • B••••••• P••• L•• · Member
        indirect · owns 25% to 50% of G••• L••
      • G••••• A• W•••• R•••••••• T•••• · Member
        indirect · owns F of W•••• F••••• I•••••••• L••
      • G••••• A• W•••• R•••••••• T•••• · Member
        indirect · owns 25% to 50% of G••• L••
      • W•••• F••••• I•••••••• L•• · Member
        indirect · owns 75% or more of B••••••• P••• L••
      • W•••• F••••• I•••••••• L•• · Member
        indirect · owns 25% to 50% of G••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Houston, TX1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 15
        Mar 29, 2023 to Mar 25, 2024
      • Advisory employees · 61 to 55
        Mar 29, 2023 to Mar 25, 2024
      • Pooled vehicle clients · 5 to 4
        Mar 29, 2023 to Mar 25, 2024
      • Assets in custody · $2.9B to $3.9B
        Mar 29, 2023 to Mar 25, 2024
      • Employees · 119 to 110
        Mar 29, 2023 to Mar 25, 2024
      • Other offices · 14 to 13
        Mar 29, 2023 to Mar 25, 2024
      • Private funds · 5 to 4
        Mar 29, 2023 to Mar 25, 2024
      • Discretionary RAUM · $6.5B to $7.3B
        Mar 29, 2023 to Mar 25, 2024
      • Pooled vehicle RAUM · $1.6B to $2.0B
        Mar 29, 2023 to Mar 25, 2024
      • RAUM · $6.5B to $7.3B
        Mar 29, 2023 to Mar 25, 2024
      • Advisory employees · 53 to 61
        Nov 4, 2022 to Mar 29, 2023
      • Corporate clients · 7 to 9
        Nov 4, 2022 to Mar 29, 2023
      • Pooled vehicle clients · 6 to 5
        Nov 4, 2022 to Mar 29, 2023
      • Assets in custody · $4.0B to $2.9B
        Nov 4, 2022 to Mar 29, 2023
      • Employees · 107 to 119
        Nov 4, 2022 to Mar 29, 2023
      • Other offices · 10 to 14
        Nov 4, 2022 to Mar 29, 2023
      • Discretionary RAUM · $7.7B to $6.5B
        Nov 4, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $2.7B to $1.6B
        Nov 4, 2022 to Mar 29, 2023
      • RAUM · $7.7B to $6.5B
        Nov 4, 2022 to Mar 29, 2023
      • Accounts · 14 to 16
        Nov 3, 2021 to Mar 30, 2022
      • Advisory employees · 52 to 53
        Nov 3, 2021 to Mar 30, 2022
      • BD registered reps · 12 to 11
        Nov 3, 2021 to Mar 30, 2022
      • Corporate clients · 5 to 7
        Nov 3, 2021 to Mar 30, 2022
      • Pooled vehicle clients · 5 to 6
        Nov 3, 2021 to Mar 30, 2022
      • Assets in custody · $5.0B to $4.0B
        Nov 3, 2021 to Mar 30, 2022
      • Employees · 101 to 107
        Nov 3, 2021 to Mar 30, 2022
      • Other offices · 8 to 10
        Nov 3, 2021 to Mar 30, 2022
      • Private funds · 4 to 5
        Nov 3, 2021 to Mar 30, 2022
      • Discretionary RAUM · $8.6B to $7.7B
        Nov 3, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $3.2B to $2.7B
        Nov 3, 2021 to Mar 30, 2022
      • RAUM · $8.6B to $7.7B
        Nov 3, 2021 to Mar 30, 2022
      • Accounts · 16 to 14
        Jun 16, 2020 to Mar 30, 2021
      • Advisory employees · 63 to 52
        Jun 16, 2020 to Mar 30, 2021
      • Charity clients · 2 to 1
        Jun 16, 2020 to Mar 30, 2021
      • Assets in custody · $4.8B to $5.0B
        Jun 16, 2020 to Mar 30, 2021
      • Employees · 120 to 101
        Jun 16, 2020 to Mar 30, 2021
      • Other offices · 6 to 8
        Jun 16, 2020 to Mar 30, 2021
      • Discretionary RAUM · $7.4B to $8.6B
        Jun 16, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $3.4B to $3.2B
        Jun 16, 2020 to Mar 30, 2021
      • RAUM · $7.4B to $8.6B
        Jun 16, 2020 to Mar 30, 2021
      Signals
      19 dated events
      • W•••• M••••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $7.3B)
        May 2, 2025 · Left the SEC roster · derived
      • Francis David Betten (Executive Committee Member, Senior Vice President) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2024-03-25, absent 2024-04-15)
        Apr 15, 2024 · Control person left · inference
      • Richard Lundy Wright (Executive Committee Member, Senior Vice President) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2024-03-25, absent 2024-04-15)
        Apr 15, 2024 · Control person left · inference
      • Mordechai Ron Lior (Executive Committee Member, Senior Vice President) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2024-03-25, absent 2024-04-15)
        Apr 15, 2024 · Control person left · inference
      • Charles Steven Kleinman (Trustee - Irrevocable Trust Fbo Deborah Weiss & Allison Weisss, Member) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2024-03-25, absent 2024-04-15)
        Apr 15, 2024 · Control person left · inference
      • Cornell Victoria Stearns (Chief Compliance Officer) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2024-03-25, absent 2024-04-15)
        Apr 15, 2024 · Control person left · inference
      • Charles Steven Kleinman (Trustee - Irrevocable Trust Fbo Deborah Weiss & Allison Weisss, Member) appeared on Schedule A of W•••• M••••••••• A••••••• L••
        Mar 25, 2024 · Control person joined · fact
      • Charles Steven Kleinman (Trustee - Irrevocable Trust Fbo Deborah Weiss & Allison Weiss, Member) appeared on Schedule A of W•••• M••••••••• A••••••• L••
        Mar 30, 2021 · Control person joined · fact
      • Alan Michael Edwards (Executive Committee Member, Chief Administrative Officer, Deputy Chief Investment Officer) appeared on Schedule A of W•••• M••••••••• A••••••• L••
        Jun 16, 2020 · Control person joined · fact
      • W•••• M••••••••• A••••••• L•• reported RAUM $7.4B, up 28% from $5.8B (2020-01-16 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • Cauchois Scott Sartorius (Executive Committee Member, Senior Vice President) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2020-01-16, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • Charles Steven Kleinman (Trustee-Irrevocable Trust For Deborah Weiss & Allison Weiss, Member) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2020-01-16, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • Scott Jay Tucker (Executive Committee Member, Senior Vice President, Chief Operating Officer) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2019-11-05, absent 2020-01-16)
        Jan 16, 2020 · Control person left · inference
      • Pierce Archer (Senior Vice President, Chief Operating Officer) appeared on Schedule A of W•••• M••••••••• A••••••• L••
        Jan 16, 2020 · Control person joined · fact
      • Andrew Clinton Matter (Executive Committee Member, Senior Vice President) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2019-08-28, absent 2019-11-05)
        Nov 5, 2019 · Control person left · inference
      • Charles Peter Jachym (President - Insurance Business Development) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2019-08-28, absent 2019-11-05)
        Nov 5, 2019 · Control person left · inference
      • Mordechai Ron Lior (Executive Committee Member, Senior Vice President) appeared on Schedule A of W•••• M••••••••• A••••••• L••
        Nov 5, 2019 · Control person joined · fact
      • Ira Jay Goldstein (Chief Financial Officer) no longer on Schedule A of W•••• M••••••••• A••••••• L•• (listed 2019-03-29, absent 2019-08-28)
        Aug 28, 2019 · Control person left · inference
      • Anthony Scott Crowell (Chief Financial Officer) appeared on Schedule A of W•••• M••••••••• A••••••• L••
        Aug 28, 2019 · 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.
      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