DFX Intelligence

RIA Intelligence

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SEC-registered adviser

1• W••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)New York, New YorkCRD 160197SEC 801-73235IAPD

Latest filing Mar 20, 2026

First filing on the tape Feb 9, 2012 · 22 filings

SEC status approved since Feb 16, 2012

RAUM

$1.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

7 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$1.3B as of Mar 20, 2026

Mar 27, 2013$882M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 20, 2026

Mar 27, 20130 then

Employees (5.A)11 as of Mar 20, 2026

Mar 27, 20138 then

Private funds4 as of Mar 20, 2026

Mar 27, 20133 then

RAUM -20% over the last fiscal year-3.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 20, 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: $270MderivedRAUM 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: -20%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, 5 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$1.3B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $1.3B for 5 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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

Every departure Every arrival

Private funds

6 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
1• W••• C•••••• F••• L•	Hedge Fund	$991M	70	Feb 9, 2012
1• W••• C•••••• O••••••• F••• L•	Hedge Fund	$587M	10	Feb 9, 2012
1• W••• C•••••• F••• L••no longer reported	Hedge Fund	$208M	9	Feb 9, 2012
1• W••• L•••••••• H••• O••••••• F••• L•	Hedge Fund	$97.1M	20	May 26, 2021
1• W••• P•••• C••• F••• L•no longer reported	Hedge Fund	$31.1M	13	Mar 26, 2015
D• O••••••••• F••• L••	Hedge Fund	$2.7M	7	Feb 28, 2019

Owners and control persons

Schedule A and B, latest filing

H•••• J•••••••• D•••••• · Chief Financial Officer/Directorcontrol
since 03/2023 · owns less than 5%
M•••••••• L••••• J••• · Directorcontrol
since 01/2024 · owns less than 5%
R••••• J•••• N•• · Portfolio Manager And Managing Member Of 1• W••• C•••••• M••••••••• L••control
since 09/2011 · owns 75% or more
R••••• J•••••••• M•••••• · Directorcontrol
since 01/2024 · owns less than 5%
T••••• J••••••••• F••• · Chief Compliance Officer/Director Of Financecontrol
since 03/2024 · owns less than 5%
R••••• J•••• N•• · Managing Membercontrol
since 04/2011 · owns 75% or more of 1• W••• C•••••• M••••••••• L••

Entity owners

1• W••• C•••••• M••••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

1• W••• C•••••• G• L••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 5
Jan 14, 2026 to Mar 20, 2026
Advisory employees · 8 to 7
Jan 14, 2026 to Mar 20, 2026
Pooled vehicle clients · 4 to 5
Jan 14, 2026 to Mar 20, 2026
Assets in custody · $1.7B to $1.3B
Jan 14, 2026 to Mar 20, 2026
Employees · 12 to 11
Jan 14, 2026 to Mar 20, 2026
Discretionary RAUM · $1.7B to $1.3B
Jan 14, 2026 to Mar 20, 2026
Pooled vehicle RAUM · $1.7B to $1.3B
Jan 14, 2026 to Mar 20, 2026
RAUM · $1.7B to $1.3B
Jan 14, 2026 to Mar 20, 2026
Employees · 13 to 12
Mar 22, 2024 to Mar 11, 2025
Financial planning clients · unset to
Mar 22, 2024 to Mar 11, 2025
Discretionary RAUM · $1.7B to $1.7B
Mar 22, 2024 to Mar 11, 2025
Pooled vehicle RAUM · $1.7B to $1.7B
Mar 22, 2024 to Mar 11, 2025
RAUM · $1.7B to $1.7B
Mar 22, 2024 to Mar 11, 2025
Advisory employees · 9 to 8
Mar 31, 2023 to Mar 22, 2024
Assets in custody · $1.5B to $1.7B
Mar 31, 2023 to Mar 22, 2024
Employees · 14 to 13
Mar 31, 2023 to Mar 22, 2024
Discretionary RAUM · $1.5B to $1.7B
Mar 31, 2023 to Mar 22, 2024
Pooled vehicle RAUM · $1.5B to $1.7B
Mar 31, 2023 to Mar 22, 2024
RAUM · $1.5B to $1.7B
Mar 31, 2023 to Mar 22, 2024
Accounts · 5 to 4
Jul 29, 2022 to Mar 28, 2023
Advisory employees · 8 to 9
Jul 29, 2022 to Mar 28, 2023
Pooled vehicle clients · 5 to 4
Jul 29, 2022 to Mar 28, 2023
Assets in custody · $3.6B to $1.5B
Jul 29, 2022 to Mar 28, 2023
Employees · 12 to 14
Jul 29, 2022 to Mar 28, 2023
Private funds · 5 to 4
Jul 29, 2022 to Mar 28, 2023
Discretionary RAUM · $3.6B to $1.5B
Jul 29, 2022 to Mar 28, 2023
Pooled vehicle RAUM · $3.6B to $1.5B
Jul 29, 2022 to Mar 28, 2023
RAUM · $3.6B to $1.5B
Jul 29, 2022 to Mar 28, 2023
Assets in custody · $4.2B to $3.6B
May 26, 2021 to Mar 31, 2022
Employees · 13 to 12
May 26, 2021 to Mar 31, 2022
Discretionary RAUM · $4.2B to $3.6B
May 26, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $4.2B to $3.6B
May 26, 2021 to Mar 31, 2022
RAUM · $4.2B to $3.6B
May 26, 2021 to Mar 31, 2022
Private funds · 4 to 5
Mar 16, 2021 to May 26, 2021
Assets in custody · $3.1B to $4.2B
Mar 23, 2020 to Mar 16, 2021
Discretionary RAUM · $3.1B to $4.2B
Mar 23, 2020 to Mar 16, 2021
Pooled vehicle RAUM · $3.1B to $4.2B
Mar 23, 2020 to Mar 16, 2021
RAUM · $3.1B to $4.2B
Mar 23, 2020 to Mar 16, 2021
Assets in custody · $1.8B to $3.1B
Mar 22, 2019 to Mar 23, 2020
Employees · 12 to 13
Mar 22, 2019 to Mar 23, 2020

Signals

8 dated events

Jean Laura Mcgeever (Director) appeared on Schedule A of 1• W••• C•••••• M••••••••• L•
Mar 22, 2024 · Control person joined · fact
Michael Jonathan Roney (Director) appeared on Schedule A of 1• W••• C•••••• M••••••••• L•
Mar 22, 2024 · Control person joined · fact
Finn Jacqueline Tenny (Chief Compliance Officer/Director Of Finance) appeared on Schedule A of 1• W••• C•••••• M••••••••• L•
Mar 22, 2024 · Control person joined · fact
1• W••• C•••••• M••••••••• L• reported RAUM $1.5B, down 58% from $3.6B (2022-07-29 to 2023-03-28)
Mar 28, 2023 · RAUM change · derived
Dickson Jonathan Herr (Chief Compliance Officer/Chief Financial Officer) appeared on Schedule A of 1• W••• C•••••• M••••••••• L•
Mar 28, 2023 · Control person joined · fact
Francis James Gilmore (Chief Compliance Officer And Chief Finance Officer) no longer on Schedule A of 1• W••• C•••••• M••••••••• L• (listed 2022-07-29, absent 2023-03-28)
Mar 28, 2023 · Control person left · inference
1• W••• C•••••• M••••••••• L• reported RAUM $4.2B, up 34% from $3.1B (2020-03-23 to 2021-03-16)
Mar 16, 2021 · RAUM change · derived
1• W••• C•••••• M••••••••• L• reported RAUM $3.1B, up 71% from $1.8B (2019-03-22 to 2020-03-23)
Mar 23, 2020 · 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

Principal office phone: 646-216-7040reportedpublic record, Form ADV, Mar 20, 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