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.
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SEC-registered adviser
W•••• R••• C•••••• M•••••••••
Legal name W•••• R••• C•••••• M••••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Mar 21, 2012 · 23 filings
SEC status approved since Jun 9, 2010
RAUM
$13B
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
31
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$13B as of Jun 2, 2026
Mar 21, 2012$375M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 2, 2026
Mar 21, 20120 then
Employees (5.A)31 as of Jun 2, 2026
Mar 18, 20136 then
Private funds8 as of Jun 2, 2026
Mar 21, 20123 then
RAUM +11% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 2, 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
- $683MderivedRAUM 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
- +11%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
- $4.5B, 5 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)
- 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
- Pooled investment vehicles$13B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 19reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.5B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• R••• F••••••• M••••• F•••• L• | Hedge Fund | $4.6B | 603 | Mar 28, 2014 |
| W•••• R••• L••• O••••••••• M••••• F•••• L• | Hedge Fund | $3.2B | 275 | Mar 30, 2020 |
| W•••• R••• F••••••• F••• L•no longer reported | Hedge Fund | $601M | 90 | Mar 21, 2012 |
| W•••• R••• H••••• M••••• F••• I•• L• | Hedge Fund | $309M | 78 | Mar 31, 2021 |
| W•••• R••• L••• O••••••••• F••• I• L• | Hedge Fund | $214M | 1 | Mar 30, 2020 |
| W•••• R••• L••• O••••••••• F••• I•••• L• | Hedge Fund | $180M | 2 | Dec 21, 2023 |
| W•••• R••• H••••• M••••• F•••• L• | Hedge Fund | $162M | 48 | Mar 31, 2021 |
| W•••• R••• F••••••• ••• F••• L• | Hedge Fund | $57.7M | 45 | Mar 21, 2012 |
| W•••• R••• F••••••• F••• L••no longer reported | Hedge Fund | $45.1M | 15 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• K••••••• V••••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- F•••••••• R•••••• E••••• · Chief Financial Officercontrolsince 05/2023 · owns less than 5%
- H••••••••• J••••• G••••• · General Counselcontrolsince 03/2018 · owns less than 5%
- K••••••• K•••••• S••• · Chief Operating Officercontrolsince 07/2019 · owns less than 5%
- S••••••••• A••••••••• C•••••• · Ceo, Owner, Managing Membercontrolsince 04/2006 · owns 75% or more
- S••••••••• A••••••••• C•••••• · General Partnercontrolsince 12/2010 · owns F of P•••• M• S•••••••• I••••••••• P•••••••• L•••
Entity owners
- P•••• M• S•••••••• I••••••••• P•••••••• L••• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- W•••• R••• C•••••• H••••• P••••••• L••investment adviserbankpooled vehicle sponsorn
- W•••• R••• C•••••• L••• O••••••••• P••••••• L••investment adviserbankpooled vehicle sponsorn
- W•••• R••• C•••••• P••••••• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 16 to 19Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 11 to 10Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 16 to 19Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $4.6B to $4.5BMar 31, 2025 to Mar 31, 2026
- Employees · 32 to 31Mar 31, 2025 to Mar 31, 2026
- Private funds · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $12B to $13BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $12B to $13BMar 31, 2025 to Mar 31, 2026
- RAUM · $12B to $13BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 12 to 11Apr 2, 2024 to Mar 31, 2025
- Assets in custody · $3.6B to $4.6BApr 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $8.7B to $12BApr 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $8.7B to $12BApr 2, 2024 to Mar 31, 2025
- RAUM · $8.7B to $12BApr 2, 2024 to Mar 31, 2025
- Accounts · 14 to 16Dec 21, 2023 to Mar 28, 2024
- Advisory employees · 13 to 12Dec 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 14 to 16Dec 21, 2023 to Mar 28, 2024
- Assets in custody · $3.3B to $3.6BDec 21, 2023 to Mar 28, 2024
- Employees · 33 to 32Dec 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $8.0B to $8.7BDec 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $8.0B to $8.7BDec 21, 2023 to Mar 28, 2024
- RAUM · $8.0B to $8.7BDec 21, 2023 to Mar 28, 2024
- Private funds · 6 to 7May 11, 2023 to Dec 21, 2023
- Employees · 34 to 33Mar 30, 2023 to May 11, 2023
- Advisory employees · 17 to 13Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $9.1B to $3.3BMar 31, 2022 to Mar 30, 2023
- Employees · 37 to 34Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $21B to $8.0BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $21B to $8.0BMar 31, 2022 to Mar 30, 2023
- RAUM · $21B to $8.0BMar 31, 2022 to Mar 30, 2023
- Advisory employees · 14 to 17Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $20B to $9.1BMar 31, 2021 to Mar 31, 2022
- Employees · 31 to 37Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $25B to $21BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $25B to $21BMar 31, 2021 to Mar 31, 2022
- RAUM · $25B to $21BMar 31, 2021 to Mar 31, 2022
- Accounts · 8 to 14Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 9 to 14Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 8 to 14Mar 30, 2020 to Mar 31, 2021
Signals
10 dated events
- W•••• R••• C•••••• M••••••••• reported RAUM $11.7B, up 34% from $8.7B (2024-04-02 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Victoria Kendell Benz (Chief Compliance Officer) appeared on Schedule A of W•••• R••• C•••••• M•••••••••Mar 28, 2024 · Control person joined · fact
- Patrick Brian Falahee (Cfo) no longer on Schedule A of W•••• R••• C•••••• M••••••••• (listed 2023-03-30, absent 2023-05-11)May 11, 2023 · Control person left · inference
- Edward Robert Finneran (Chief Financial Officer) appeared on Schedule A of W•••• R••• C•••••• M•••••••••May 11, 2023 · Control person joined · fact
- W•••• R••• C•••••• M••••••••• reported RAUM $8.0B, down 62% from $20.9B (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- W•••• R••• C•••••• M••••••••• reported RAUM $24.7B, up 139% from $10.3B (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- W•••• R••• C•••••• M••••••••• reported RAUM $10.3B, up 80% from $5.7B (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Sott Kristy Kennedy (Chief Operating Officer) appeared on Schedule A of W•••• R••• C•••••• M•••••••••Mar 30, 2020 · Control person joined · fact
- W•••• R••• C•••••• M••••••••• reported RAUM $5.7B, up 36% from $4.2B (2018-03-29 to 2018-09-19)Sep 19, 2018 · RAUM change · derived
- W•••• R••• C•••••• M••••••••• reported RAUM $4.2B, up 87% from $2.2B (2017-07-14 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/whale-rock-capital-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- W••••R•••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-502-9900reportedpublic record, Form ADV, Jun 2, 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