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Former SEC-registered adviser

W•••• E•• C••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 157489SEC 801-73443IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 13, 2012 · 10 filings
RAUM
$487M
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
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$487M gross assets
History
10 filings and snapshots on the tape
RAUM$487M as of Mar 29, 2019
Mar 4, 2013$785M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 4, 20130 then
Employees (5.A)11 as of Mar 29, 2019
Mar 4, 201311 then
Private funds1 as of Mar 29, 2019
Mar 4, 20132 then
RAUM -30% over the last fiscal year-31% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$162MderivedRAUM 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
-30%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
$487M, 3 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$487M100%
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
$487M for 3 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••• E•• M••••• O•••••••• L•••Hedge Fund$487M66Feb 13, 2012
      W•••• E•• C•••••• P•••••••• L•••Hedge Fund$396M48Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • I••••• M••••••• T••• · Managing Membercontrol
        since 09/2007 · owns 50% to 75%
      • O•••••••• N••••• E•••••••• · Chief Financial Officercontrol
        since 09/2007 · owns 5% to 10%
      • S•••••••• T••••• A•••••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 09/2007 · owns 5% to 10%
      • P••••••• K••••••••• W•••• · Managing Director
        since 04/2011 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • W•••• E•• M••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $296M to $487M
        Oct 5, 2018 to Mar 29, 2019
      • Other offices · 1 to 0
        Oct 5, 2018 to Mar 29, 2019
      • Private funds · 2 to 1
        Oct 5, 2018 to Mar 29, 2019
      • Discretionary RAUM · $692M to $487M
        Oct 5, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $692M to $487M
        Oct 5, 2018 to Mar 29, 2019
      • RAUM · $692M to $487M
        Oct 5, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 5
        Mar 30, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 30, 2017 to Apr 2, 2018
      • Assets in custody · $480M to $296M
        Mar 30, 2017 to Apr 2, 2018
      • Employees · 12 to 11
        Mar 30, 2017 to Apr 2, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Apr 2, 2018
      • Discretionary RAUM · $972M to $692M
        Mar 30, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 692039000.0
        Mar 30, 2017 to Apr 2, 2018
      • RAUM · $972M to $692M
        Mar 30, 2017 to Apr 2, 2018
      • Assets in custody · $751M to $480M
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 13 to 12
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.5B to $972M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $1.5B to $972M
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 5 to 6
        Jan 22, 2016 to Mar 30, 2016
      • Assets in custody · $986M to $751M
        Jan 22, 2016 to Mar 30, 2016
      • Employees · 12 to 13
        Jan 22, 2016 to Mar 30, 2016
      • Discretionary RAUM · $1.8B to $1.5B
        Jan 22, 2016 to Mar 30, 2016
      • RAUM · $1.8B to $1.5B
        Jan 22, 2016 to Mar 30, 2016
      • Advisory employees · 6 to 5
        Mar 28, 2014 to Mar 30, 2015
      • Assets in custody · $899M to $986M
        Mar 28, 2014 to Mar 30, 2015
      • Employees · 13 to 12
        Mar 28, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.9B to $1.8B
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $1.9B to $1.8B
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 5 to 6
        Mar 4, 2013 to Mar 28, 2014
      • Assets in custody · unset to 899061000.0
        Mar 4, 2013 to Mar 28, 2014
      • Custody of client assets · false to true
        Mar 4, 2013 to Mar 28, 2014
      • Employees · 11 to 13
        Mar 4, 2013 to Mar 28, 2014
      • Discretionary RAUM · $785M to $1.9B
        Mar 4, 2013 to Mar 28, 2014
      • RAUM · $785M to $1.9B
        Mar 4, 2013 to Mar 28, 2014
      • Advisory employees · unset to 5.0
        Feb 13, 2012 to Mar 4, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 4, 2013
      • Employees · unset to 11.0
        Feb 13, 2012 to Mar 4, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 4, 2013
      • Discretionary RAUM · $514M to $785M
        Feb 13, 2012 to Mar 4, 2013
      • RAUM · $514M to $785M
        Feb 13, 2012 to Mar 4, 2013
      Signals
      3 dated events
      • W•••• E•• C••••••• L•• reported RAUM $486.8M, down 30% from $692.0M (2018-10-05 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Scott Daniel Radden (General Counsel, Chief Compliance Officer) no longer on Schedule A of W•••• E•• C••••••• L•• (listed 2018-10-05, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • W•••• E•• C••••••• L•• reported RAUM $692.0M, down 29% from $971.9M (2017-03-30 to 2018-04-02)
        Apr 2, 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.
      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