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•••• O•• G••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 31, 2012 · 54 filings
SEC status approved since Aug 11, 2009
RAUM
$5.1B
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
58
32 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
37
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$5.1B as of Mar 31, 2026
Jan 31, 2012$665M then
HNW client RAUM$52.2M as of Mar 30, 2020
Mar 30, 2018$76.0M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 22, 20130 then
Employees (5.A)58 as of Mar 31, 2026
Mar 22, 201329 then
Private funds37 as of Mar 31, 2026
Jan 31, 20129 then
RAUM -5.7% over the last fiscal year-7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $81.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%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
- -5.7%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $5.4B, 63 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.8B95%
- Insurance companies$121M2.4%
- Pension and profit-sharing plans$56.4M1.1%
- State and municipal entities$53.5M1.0%
- Corporations and businesses$35.8M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 63reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.4B for 63 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.95 institutional_share=0.05 related_bd=true related_bank=false bd_reps=4.0derived
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
48 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• O•• Y•••• S••••••• I••• | Private Equity Fund | $783M | 48 | Mar 30, 2018 |
| W•••• O•• S••••• I••• | Private Equity Fund | $624M | 55 | Mar 29, 2016 |
| W•••• O•• S••••• F•••• L•••no longer reported | Private Equity Fund | $580M | 40 | Mar 27, 2015 |
| W•••• O•• Y•••• S••••••• ••••••••• M••••• F•••• S••• | Private Equity Fund | $510M | 15 | Mar 30, 2019 |
| W•••• O•• Y•••• S••••••• M••••• F••• V• S••• | Private Equity Fund | $441M | 14 | Mar 30, 2020 |
| W•••• O•• F•••• I••••• F••• C• L••• | Hedge Fund | $414M | 298 | Mar 27, 2015 |
| W•••• O•• Y•••• S••••••• ••••••••• M••••• F••• V• S••• | Private Equity Fund | $357M | 16 | Mar 30, 2020 |
| W•••• O•• B•••••• I••••• U••••••• M••••• F•••• L• | Hedge Fund | $305M | 11 | Mar 30, 2019 |
| W•••• O•• Y•••• S••••••• P••• F•••• L••• | Private Equity Fund | $285M | 26 | Mar 30, 2019 |
| W•••• O•• W•••• E•••••••• F•••• L• | Hedge Fund | $259M | 1 | Mar 30, 2018 |
| W•••• O•• S••••••••• A•• M••••• F•••• L••• | Hedge Fund | $250M | 1 | Mar 31, 2021 |
| W•••• O•• Y•••• S••••••• P••••••• F•••• L••• | Hedge Fund | $244M | 2 | Mar 30, 2019 |
| B•••• R• P• 2• L•••• L•• | Private Equity Fund | $238M | 1 | Mar 30, 2019 |
| W•••• O•• P••••••• F•••• L••• | Private Equity Fund | $223M | 87 | Mar 22, 2013 |
| W•••• O•• S••••• I••no longer reported | Private Equity Fund | $207M | 12 | Mar 29, 2016 |
| W•••• O•• I••••• F•••• S••• | Hedge Fund | $182M | 2 | Nov 10, 2020 |
| W•••• O•• F•••• I••••• S•• F••• U•• 2•••••• L••• | Private Equity Fund | $177M | 1 | Mar 30, 2020 |
| W•••• O•• S•••• T••• A•• M••••• F•••• S••• | Private Equity Fund | $162M | 1 | Mar 31, 2022 |
| W••••••• Q•••• P••••••• I••• • W•••• O•• S••••• F••• E• | Private Equity Fund | $110M | 1 | Mar 29, 2016 |
| W•••• O•• N•• F•••• L•• | Hedge Fund | $107M | 10 | Mar 29, 2016 |
| W•••• O•• S••••• P••• F•••• L••• | Private Equity Fund | $92.0M | 7 | Mar 29, 2016 |
| W•••• O•• S••••• P••••••• F••• I• L•••no longer reported | Private Equity Fund | $77.6M | 1 | Mar 27, 2015 |
| W•••• O•• S••••• F••• B••••••• L••no longer reported | Private Equity Fund | $40.2M | 1 | Mar 30, 2017 |
| W•••• O•• D•••••• M••••• F•••• L• | Hedge Fund | $30.9M | 1 | Mar 30, 2018 |
| W•••• O•• S••••• F••• B••••••• I••• | Private Equity Fund | $26.1M | 4 | Mar 29, 2016 |
| W•••• O•• S••••• P••••••• F••• I•• L• | Private Equity Fund | $18.1M | 1 | Mar 29, 2016 |
| W•••• O•• P••••••• F••• I• L••• • F••• V• S••••• | Hedge Fund | $13.7M | 1 | Mar 31, 2022 |
| W•••• O•• P••••••• F••• I• L••• • S••••• 5• | Hedge Fund | $9.3M | 1 | Mar 30, 2019 |
| W•••• O•• Y•••• S••••••• F•••• L•••no longer reported | Private Equity Fund | $7.0M | 3 | Sep 29, 2017 |
| W•••• O•• Y•••• S••••••• F••••• I•••no longer reported | Private Equity Fund | $6.1M | 4 | Sep 29, 2017 |
| W•••• O•• P••••••• F••• I• L••• • S••••• 4• | Hedge Fund | $3.7M | 15 | Mar 29, 2016 |
| W•••• O•• O••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $2.9M | 7 | Jan 31, 2012 |
| W•••• O•• S•••••••• M••••• F••• I•• L•••no longer reported | Hedge Fund | $2.3M | 2 | Jan 31, 2012 |
| W•••• O•• P••••••• F••• I• L••• • S••••• 2• | Hedge Fund | $1.5M | 7 | Mar 31, 2014 |
| W•••• O•• P••••••• F••• I• L••• • S••••• 5• | Hedge Fund | $1.1M | 1 | Mar 30, 2019 |
| W•••• O•• S•••••••• S••• L•••no longer reported | Private Equity Fund | $107,361 | 27 | Jan 31, 2012 |
| W•••• O•• S•••••••• S••• L•••no longer reported | Private Equity Fund | $31,824 | 7 | Jan 31, 2012 |
| W•••• O•• S••••• R••••••• F••• E•• L•• | Private Equity Fund | $0 | 1 | Mar 29, 2016 |
| W•••• O•• Y•••• S••••••• R••••••• F•••• S••• | Private Equity Fund | $0 | 1 | Mar 30, 2018 |
| W•••• O•• P••••••• F••• I• L••• • S••••• 3• | Hedge Fund | $0 | 0 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• T••• · General Counselcontrolsince 06/2019 · owns less than 5%
- G••••••• T••••••• P•••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- H••••••• D••••• B•••• · Partnercontrolsince 07/2009 · owns less than 5%
- H•••••• A••••• A••• · Managing Partner & Elected Membercontrolsince 06/2007 · owns less than 5%
- H••••••• C•••••• M•••• · Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- M••••• B••••••• J••• S••••••• · Managing Partner & Elected Membercontrolsince 06/2007 · owns less than 5%
- M••••••••• D•••••• J••••• · Partnercontrolsince 07/2009 · owns less than 5%
- H•••••• A••••• A••• · Managing Membercontrolsince 04/2015 · owns 50% to 75% of W•••• O•• F••••••••• L••
Entity owners
- W•••• O•• F••••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- F••••••• C•••••••••n
- W•••• O•• A••• L••pooled vehicle sponsory
- W•••• O•• A••••••• M••••••••• S••••••• •••• L••pooled vehicle sponsory
- W•••• O•• B•••••• I••••• F••• G•• L••pooled vehicle sponsory
- W•••• O•• C••••••••• F•••••• •••••••pooled vehicle sponsory
- W•••• O•• C••••••••• F••••••• L••pooled vehicle sponsory
- W•••• O•• C••••• S•••••••• L••pooled vehicle sponsory
- W•••• O•• E•••••••• F•••••• 1• L••pooled vehicle sponsory
- W•••• O•• H••••••••• F••••••• L••pooled vehicle sponsory
- W•••• O•• M••••••• P••••••• L••broker-dealery
- W•••• O•• P••••••• 2• L••pooled vehicle sponsory
- W•••• O•• P••••••• 3• L••pooled vehicle sponsory
- W•••• O•• P••••••• 4• S•• R•••pooled vehicle sponsory
- W•••• O•• P••••••• I•••••• S•••pooled vehicle sponsory
- W•••• O•• P••••••• S••••• S•••pooled vehicle sponsory
- W•••• O•• P••••••• V• ••••••••• S•• R•••pooled vehicle sponsory
- W•••• O•• P••••••• V• L••pooled vehicle sponsory
- W•••• O•• P••••••• V• S•• R•••pooled vehicle sponsory
- W•••• O•• P•••••••• L••pooled vehicle sponsory
- W•••• O•• R••• E••••• C•••••• 1• L••pooled vehicle sponsory
- W•••• O•• S••••••••• A•• P•••••••• L••pooled vehicle sponsory
- W•••• O•• T•••• F•••••• I•• L••pooled vehicle sponsory
- W•••• O•• T•••• F••••••• L••pooled vehicle sponsory
- W•••• O•• U•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY14 employees
- Miami, FL4 employees
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Advisory employees · 37 to 32Nov 11, 2025 to Mar 31, 2026
- BD registered reps · 6 to 4Nov 11, 2025 to Mar 31, 2026
- Employees · 63 to 58Nov 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.4B to $5.1BNov 11, 2025 to Mar 31, 2026
- Pension RAUM · $56.7M to $56.4MNov 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.1B to $4.8BNov 11, 2025 to Mar 31, 2026
- RAUM · $5.4B to $5.1BNov 11, 2025 to Mar 31, 2026
- Accounts · 64 to 63Feb 20, 2025 to Mar 28, 2025
- Advisory employees · 49 to 37Feb 20, 2025 to Mar 28, 2025
- BD registered reps · 10 to 6Feb 20, 2025 to Mar 28, 2025
- Assets in custody · $6.2B to $5.4BFeb 20, 2025 to Mar 28, 2025
- Employees · 77 to 63Feb 20, 2025 to Mar 28, 2025
- Financial planning clients · unset to Feb 20, 2025 to Mar 28, 2025
- Other offices · 3 to 2Feb 20, 2025 to Mar 28, 2025
- Discretionary RAUM · $6.2B to $5.4BFeb 20, 2025 to Mar 28, 2025
- Pension RAUM · $59.3M to $56.7MFeb 20, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $5.9B to $5.1BFeb 20, 2025 to Mar 28, 2025
- RAUM · $6.2B to $5.4BFeb 20, 2025 to Mar 28, 2025
- Accounts · 68 to 64Jun 15, 2023 to Mar 29, 2024
- Advisory employees · 44 to 49Jun 15, 2023 to Mar 29, 2024
- BD registered reps · 8 to 10Jun 15, 2023 to Mar 29, 2024
- Pooled vehicle clients · 59 to 55Jun 15, 2023 to Mar 29, 2024
- Assets in custody · $6.4B to $6.2BJun 15, 2023 to Mar 29, 2024
- Employees · 51 to 77Jun 15, 2023 to Mar 29, 2024
- Private funds · 38 to 37Jun 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.4B to $6.2BJun 15, 2023 to Mar 29, 2024
- Pension RAUM · $75.5M to $59.3MJun 15, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $6.0B to $5.9BJun 15, 2023 to Mar 29, 2024
- RAUM · $6.4B to $6.2BJun 15, 2023 to Mar 29, 2024
- Accounts · 67 to 68Nov 4, 2022 to Mar 31, 2023
- Advisory employees · 55 to 44Nov 4, 2022 to Mar 31, 2023
- BD registered reps · 16 to 8Nov 4, 2022 to Mar 31, 2023
- Pooled vehicle clients · 57 to 59Nov 4, 2022 to Mar 31, 2023
- Assets in custody · $7.0B to $6.4BNov 4, 2022 to Mar 31, 2023
- Employees · 55 to 51Nov 4, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.0B to $6.4BNov 4, 2022 to Mar 31, 2023
- Pension RAUM · $66.1M to $75.5MNov 4, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $6.6B to $6.0BNov 4, 2022 to Mar 31, 2023
- RAUM · $7.0B to $6.4BNov 4, 2022 to Mar 31, 2023
- Accounts · 65 to 67Jun 7, 2021 to Mar 31, 2022
Signals
8 dated events
- James John Jacobs (Chief Compliance Officer) no longer on Schedule A of W•••• O•• G••••• A•••••••• L•• (listed 2022-09-21, absent 2022-11-04)Nov 4, 2022 · Control person left · inference
- Patrick Timothy Goodwin (Chief Compliance Officer) appeared on Schedule A of W•••• O•• G••••• A•••••••• L••Nov 4, 2022 · Control person joined · fact
- Adams Eric Snyder (Chief Accounting Officer) no longer on Schedule A of W•••• O•• G••••• A•••••••• L•• (listed 2022-09-21, absent 2022-11-04)Nov 4, 2022 · Control person left · inference
- D•••• A•••••• (Chief Operating Officer) no longer on Schedule A of W•••• O•• G••••• A•••••••• L•• (listed 2022-09-21, absent 2022-11-04)Nov 4, 2022 · Control person left · inference
- Maria Celine Hannett (Chief Financial Officer) appeared on Schedule A of W•••• O•• G••••• A•••••••• L••Nov 4, 2022 · Control person joined · fact
- James John Jacobs (Chief Compliance Officer) appeared on Schedule A of W•••• O•• G••••• A•••••••• L••Nov 12, 2019 · Control person joined · fact
- Dave Ray (General Counsel) no longer on Schedule A of W•••• O•• G••••• A•••••••• L•• (listed 2019-03-30, absent 2019-06-19)Jun 19, 2019 · Control person left · inference
- W•••• O•• G••••• A•••••••• L•• reported RAUM $5.5B, up 51% from $3.6B (2018-03-30 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- W•••• O•• G••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W•••• O•• G••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/whiteoaksfreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-644-4100reportedpublic record, Form ADV, Mar 31, 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