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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Former SEC-registered adviser

W•• M••••••••• C•••••••••

Former SEC-registered adviserNew York, New YorkCRD 157375SEC 801-73307IAPD
Latest filing Mar 29, 2016
First filing on the tape Feb 10, 2012 · 7 filings
RAUM
$6.3M
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
80
50 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$6.3M gross assets
History
7 filings and snapshots on the tape
RAUM$6.3M as of Mar 29, 2016
Mar 27, 2013$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 27, 20130 then
Employees (5.A)80 as of Mar 29, 2016
Mar 27, 201370 then
Private funds3 as of Mar 29, 2016
Mar 27, 20135 then
RAUM -95% over the last fiscal year-65% 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
$2.1MderivedRAUM 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
-95%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$121M, 4 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$121M for 4 clientsreported
Compensation
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••• C•••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$6.9M32Feb 10, 2012
      W••••• C•••••• A••••••• • S•••• V•••• L•••Private Equity Fund$4.9M152Feb 10, 2012
      W••• C•••••• P••••••• I••• L•••Private Equity Fund$1.2M30Feb 10, 2012
      W••• H••••••••• P••••••• L•••Private Equity Fund$247,23648Feb 10, 2012
      W••••• C•••••• A••••••• • S•••• V•• L•••Private Equity Fund$224,39566Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• B••••• K••••• · Senior Vice Presidentcontrol
        since 06/2011 · owns less than 5%
      • C•••••• R••••••• L•••• · Senior Vice Presidentcontrol
        since 06/2011 · owns less than 5%
      • G••••• J••••• V••••• · Senior Counsel & Chief Compliance Officercontrol
        since 12/2014 · owns less than 5%
      • W••••• P••••••• J••••• · Presidentcontrol
        since 06/2011 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 30, 2015 to Mar 29, 2016
      • Private funds · 4 to 3
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $121M to $6.3M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $121M to $6.3M
        Mar 30, 2015 to Mar 29, 2016
      • Advisory employees · 44 to 50
        Sep 24, 2014 to Mar 30, 2015
      • Assets in custody · $148M to $121M
        Sep 24, 2014 to Mar 30, 2015
      • Employees · 70 to 80
        Sep 24, 2014 to Mar 30, 2015
      • Discretionary RAUM · $115M to $121M
        Sep 24, 2014 to Mar 30, 2015
      • RAUM · $115M to $121M
        Sep 24, 2014 to Mar 30, 2015
      • Accounts · 5 to 4
        Apr 29, 2013 to Mar 31, 2014
      • Private funds · 5 to 4
        Apr 29, 2013 to Mar 31, 2014
      • Discretionary RAUM · $148M to $115M
        Apr 29, 2013 to Mar 31, 2014
      • RAUM · $148M to $115M
        Apr 29, 2013 to Mar 31, 2014
      • Advisory employees · unset to 44.0
        Feb 10, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Feb 10, 2012 to Mar 27, 2013
      • Assets in custody · $202M to $148M
        Feb 10, 2012 to Mar 27, 2013
      • Employees · unset to 70.0
        Feb 10, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Feb 10, 2012 to Mar 27, 2013
      • Discretionary RAUM · $202M to $148M
        Feb 10, 2012 to Mar 27, 2013
      • RAUM · $202M to $148M
        Feb 10, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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