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Former SEC-registered adviser

W•• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 156105SEC 801-72522IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$3.4B
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
25
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$1.3B gross assets
History
12 filings and snapshots on the tape
RAUM$3.4B as of Mar 29, 2016
Mar 29, 2012$14B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 29, 20120 then
Employees (5.A)25 as of Mar 29, 2016
Mar 27, 201339 then
Private funds1 as of Mar 29, 2016
Mar 29, 20121 then
RAUM -21% over the last fiscal year-34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$849MderivedRAUM 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
-21%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
$1.3B, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.3B for 2 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•• M••••• F•••• L•••Hedge Fund$1.3B45Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• P•••• M•••••• · Managing Director (Of W•• M••••••••• L•••)control
        since 08/2007 · owns less than 5%
      • S••••••• J••••• N•• · Chief Financial Officer And Chief Compliance Officer (Of W•• M••••••••• L•••)control
        since 08/2009 · owns less than 5%
      • U•••••••• K••••••• J••••• · Chief Operating Officer (Of W•• M••••••••• L•••)control
        since 06/2007 · owns less than 5%
      • W••••••• B••••• S••••• · Chief Executive Officer And Limited Partner (Of W•• M••••••••• L•••) & Sole Member (Of Wcg Advisors, LLC)control
        since 06/2007 · owns 75% or more
      • W••••••• B••••• S••••• · Managing Membercontrol
        since 06/2007 · owns 75% or more of W•• G•• L••
      Entity owners
      • W•• G•• L•• · General Partner (Of W•• M••••••••• L•••)
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • W•• A••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • White Plains, NY
      What changed
      consecutive filings, newest first
      • Assets in custody · $4.3B to $1.3B
        Apr 17, 2015 to Mar 29, 2016
      • Employees · 24 to 25
        Apr 17, 2015 to Mar 29, 2016
      • Discretionary RAUM · $4.3B to $3.4B
        Apr 17, 2015 to Mar 29, 2016
      • RAUM · $4.3B to $3.4B
        Apr 17, 2015 to Mar 29, 2016
      • Advisory employees · 10 to 8
        May 27, 2014 to Mar 27, 2015
      • Assets in custody · $4.3B to $4.3B
        May 27, 2014 to Mar 27, 2015
      • Employees · 25 to 24
        May 27, 2014 to Mar 27, 2015
      • Discretionary RAUM · $4.3B to $4.3B
        May 27, 2014 to Mar 27, 2015
      • RAUM · $4.3B to $4.3B
        May 27, 2014 to Mar 27, 2015
      • Employees · 27 to 25
        Mar 25, 2014 to May 22, 2014
      • Advisory employees · 14 to 10
        Oct 4, 2013 to Mar 25, 2014
      • Assets in custody · $12B to $4.3B
        Oct 4, 2013 to Mar 25, 2014
      • Employees · 39 to 27
        Oct 4, 2013 to Mar 25, 2014
      • Discretionary RAUM · $12B to $4.3B
        Oct 4, 2013 to Mar 25, 2014
      • RAUM · $12B to $4.3B
        Oct 4, 2013 to Mar 25, 2014
      • Accounts · 5 to 4
        Feb 21, 2013 to Mar 27, 2013
      • Advisory employees · 9 to 14
        Feb 21, 2013 to Mar 27, 2013
      • Assets in custody · $8.8B to $12B
        Feb 21, 2013 to Mar 27, 2013
      • Employees · 34 to 39
        Feb 21, 2013 to Mar 27, 2013
      • Private funds · 2 to 1
        Feb 21, 2013 to Mar 27, 2013
      • Discretionary RAUM · $14B to $12B
        Feb 21, 2013 to Mar 27, 2013
      • RAUM · $14B to $12B
        Feb 21, 2013 to Mar 27, 2013
      • Advisory employees · unset to 9.0
        Mar 29, 2012 to Feb 21, 2013
      • Employees · unset to 34.0
        Mar 29, 2012 to Feb 21, 2013
      • Private funds · 1 to 2
        Mar 29, 2012 to Feb 21, 2013
      Signals
      No event on the tape.
      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