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SEC-registered adviser
W••••••••• C••••••• I•••
Latest filing Jun 15, 2026
First filing on the tape Feb 13, 2012 · 25 filings
SEC status approved since Mar 30, 2012
RAUM
$185M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$185M as of Jun 15, 2026
Mar 28, 2013$259M then
HNW client RAUM$0 as of Jun 15, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 15, 2026
Mar 28, 20130 then
Employees (5.A)2 as of Jun 15, 2026
Mar 28, 20138 then
Private funds3 as of Jun 15, 2026
Mar 28, 20133 then
RAUM -19% over the last fiscal year-6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 15, 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
- $46.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%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
- -19%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
- $185M, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$177M96%
- Pension and profit-sharing plans$7.6M4.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.04 related_bd=false related_bank=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• P••••••• S•••• C•• V•••• L••• I• | Hedge Fund | $136M | 78 | Feb 13, 2012 |
| W••••••••• P••••••• S•••• C•• V•••• L••• | Hedge Fund | $85.0M | 56 | Feb 13, 2012 |
| W••••••••• S•••• C•• V•••• O••••••• F••• L••• | Hedge Fund | $45.0M | 18 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• J•••••• H••• · Executive Vice President / Secretary / Treasurercontrolsince 11/1992 · owns 50% to 75%
- L••• W• A••• · Chief Compliance Officer / Chief Operating Officercontrolsince 01/2018 · owns less than 5%
- O•••• N•••••• J•• · Presidentcontrolsince 11/1992 · owns 50% to 75%
Related persons
Schedule D 7.A
- W••••••••• C•••••• M••••••••• L•••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Aug 21, 2025 to Mar 30, 2026
- Assets in custody · $228M to $185MAug 21, 2025 to Mar 30, 2026
- Employees · 3 to 2Aug 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $228M to $185MAug 21, 2025 to Mar 30, 2026
- Pension RAUM · $8.6M to $7.6MAug 21, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $220M to $177MAug 21, 2025 to Mar 30, 2026
- RAUM · $228M to $185MAug 21, 2025 to Mar 30, 2026
- Assets in custody · $276M to $228MMar 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $276M to $228MMar 26, 2024 to Mar 28, 2025
- Pension RAUM · $9.7M to $8.6MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $266M to $220MMar 26, 2024 to Mar 28, 2025
- RAUM · $276M to $228MMar 26, 2024 to Mar 28, 2025
- Assets in custody · $228M to $276MMay 9, 2023 to Mar 26, 2024
- Discretionary RAUM · $228M to $276MMay 9, 2023 to Mar 26, 2024
- Pension RAUM · $8.7M to $9.7MMay 9, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $219M to $266MMay 9, 2023 to Mar 26, 2024
- RAUM · $228M to $276MMay 9, 2023 to Mar 26, 2024
- Assets in custody · $341M to $228MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $341M to $228MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $14.5M to $8.7MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $327M to $219MMar 30, 2022 to Mar 30, 2023
- RAUM · $341M to $228MMar 30, 2022 to Mar 30, 2023
- Assets in custody · $238M to $341MMar 22, 2021 to Mar 30, 2022
- Discretionary RAUM · $238M to $341MMar 22, 2021 to Mar 30, 2022
- Pension RAUM · $10.3M to $14.5MMar 22, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $228M to $327MMar 22, 2021 to Mar 30, 2022
- RAUM · $238M to $341MMar 22, 2021 to Mar 30, 2022
- Advisory employees · 4 to 3Mar 30, 2020 to Mar 22, 2021
- Assets in custody · $214M to $238MMar 30, 2020 to Mar 22, 2021
- Employees · 4 to 3Mar 30, 2020 to Mar 22, 2021
- Discretionary RAUM · $214M to $238MMar 30, 2020 to Mar 22, 2021
- Pension RAUM · $6.7M to $10.3MMar 30, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $208M to $228MMar 30, 2020 to Mar 22, 2021
- RAUM · $214M to $238MMar 30, 2020 to Mar 22, 2021
- Assets in custody · $233M to $214MMar 29, 2019 to Mar 30, 2020
- Employees · 8 to 4Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $233M to $214MMar 29, 2019 to Mar 30, 2020
- Pension RAUM · $7.8M to $6.7MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $226M to $208MMar 29, 2019 to Mar 30, 2020
Signals
4 dated events
- W••••••••• C••••••• I••• reported RAUM $227.7M, down 33% from $341.4M (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- W••••••••• C••••••• I••• reported RAUM $341.4M, up 43% from $238.2M (2021-03-22 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Alex Liu (Chief Compliance Officer) appeared on Schedule A of W••••••••• C••••••• I•••Mar 30, 2020 · Control person joined · fact
- W••••••••• C••••••• I••• reported RAUM $233.3M, down 34% from $355.3M (2018-03-28 to 2019-03-29)Mar 29, 2019 · 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/wynnefield-capital-management/aboutreportedpublic record, Form ADV, Sep 21, 2026
- Website
- W•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-760-0814reportedpublic record, Form ADV, Jun 15, 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