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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SEC-registered adviser

W••••••• H••••• I••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 160311SEC 801-73671website IAPD

Latest filing May 5, 2026

First filing on the tape Feb 14, 2012 · 38 filings

SEC status approved since Mar 8, 2012

RAUM

$7.0B

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

17 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

38 filings and snapshots on the tape

RAUM$7.0B as of May 5, 2026

Apr 1, 2013$251M then

HNW client RAUM: no history

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

Apr 1, 20130 then

Employees (5.A)22 as of May 5, 2026

Apr 1, 20138 then

Private funds12 as of May 5, 2026

Apr 1, 20135 then

RAUM +90% over the last fiscal year+33% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 5, 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: $584MderivedRAUM 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: +90%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: yesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$7.0B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 12reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
W••••••• H••••• I•••••••• V•• L•••	Private Equity Fund	$894M	74	Mar 30, 2022
W••••••• H••••• I•••••••• V• L•••	Private Equity Fund	$753M	60	Nov 16, 2018
W••••••• H••••• I•••••••• V•••• L•••	Private Equity Fund	$690M	50	Mar 30, 2022
W••••••• H••••• I•••••••• I•• L•••	Private Equity Fund	$289M	51	Mar 29, 2017
W••••••• H••••• I•••••••• V•• L•••	Private Equity Fund	$287M	23	Nov 16, 2018
M••••• I••••••••• L•	Private Equity Fund	$265M	40	Mar 29, 2024
M•• C••••••• H•••••••• L•••no longer reported	Private Equity Fund	$49.0M	9	Mar 31, 2015
W••••••• H••••• I•••••••• I••• L•••	Private Equity Fund	$38.6M	38	Apr 1, 2013
W••••••• C••••••••• L••no longer reported	Private Equity Fund	$9.9M	17	May 22, 2013
W••••••• H••••• I•••••••• E•••••••• I•• L•••	Private Equity Fund	$2.1M	16	Mar 29, 2017
W••••••• H••••• I•••••••• I•• L•no longer reported	Private Equity Fund	$1.6M	41	Feb 14, 2012
W••••••• I••••••••• L•no longer reported	Private Equity Fund	$477,648	24	Feb 14, 2012
M•• A••••••••• L••no longer reported	Private Equity Fund	$428,368	5	Mar 31, 2014
M•• I•••••••• C• L•no longer reported	Private Equity Fund	$306,709	2	Feb 14, 2012
M•••••••••no longer reported	Private Equity Fund	$251,147	4	May 22, 2013
D••• M•• L••no longer reported	Private Equity Fund	$240,387	4	May 22, 2013
M•• I•••••••• D• L•no longer reported	Private Equity Fund	$217,036	1	Feb 14, 2012

Owners and control persons

Schedule A and B, latest filing

B•••••• C••••••••• J••••• · Partnercontrol
since 01/2018 · owns less than 5%
B••••• A••••••••• N•• · Partnercontrol
since 02/2017 · owns less than 5%
M••••• O•••••• T••• · Managing Partnercontrol
since 02/2017 · owns 50% to 75%
P••••••• D••••• M•••• · Partnercontrol
since 01/2022 · owns less than 5%
S••••••••• M••••••• J•••• · Ccocontrol
since 03/2018 · owns less than 5%
L•••• C•••••• S•••• · Member
since 03/2000 · owns 75% or more of L••• M•• H•••••••• L••

Entity owners

L••• M•• H•••••••• L•• · Member
direct · owns 25% to 50%

Related persons

Schedule D 7.A

M••••• I••••••••• G•• L•••
pooled vehicle sponsorn
M•• H••••• I•••••••• I•• G•• L•••
pooled vehicle sponsorn
M•• H••••• I•••••••• I• G•• L•
pooled vehicle sponsorn
M•• S••••••••• L••
broker-dealern
W••••••• H••••• I•••••••• V• G• L•
pooled vehicle sponsorn
W••••••• H••••• I•••••••• V• G• L•
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

private fund count surgeChange between filings · filing Apr 1, 2026
private funds (Schedule D 7.B.1) moved from 8.0 to 12.0 (+50.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +3.0% (487 comparable advisers, 94.0th percentile of changes)
peers: asset managers, $5B to $20B (487) · 94% percentile
RAUM up 50 %Change between filings · filing Apr 1, 2026
RAUM (Item 5.F) moved from $3,683,729,742 to $7,013,494,016 (+90.0%) between the annual amendments of 2025-03-31 and 2026-04-01; the peer median change was +13.0% (631 comparable advisers, 95.0th percentile of changes)
peers: asset managers, $5B to $20B (631) · 95% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 8 to 12
Sep 19, 2025 to Mar 31, 2026
Pooled vehicle clients · 8 to 12
Sep 19, 2025 to Mar 31, 2026
Private funds · 10 to 12
Sep 19, 2025 to Mar 31, 2026
Discretionary RAUM · $3.7B to $7.0B
Sep 19, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $3.7B to $7.0B
Sep 19, 2025 to Mar 31, 2026
RAUM · $3.7B to $7.0B
Sep 19, 2025 to Mar 31, 2026
Private funds · 8 to 10
Mar 31, 2025 to Sep 19, 2025
Advisory employees · 14 to 17
Jul 15, 2024 to Mar 31, 2025
Employees · 19 to 22
Jul 15, 2024 to Mar 31, 2025
Financial planning clients · unset to
Jul 15, 2024 to Mar 31, 2025
Discretionary RAUM · $3.2B to $3.7B
Jul 15, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $3.2B to $3.7B
Jul 15, 2024 to Mar 31, 2025
RAUM · $3.2B to $3.7B
Jul 15, 2024 to Mar 31, 2025
Discretionary RAUM · $3.2B to $3.2B
Mar 29, 2024 to May 9, 2024
Pooled vehicle RAUM · $3.2B to $3.2B
Mar 29, 2024 to May 9, 2024
RAUM · $3.2B to $3.2B
Mar 29, 2024 to May 9, 2024
Accounts · 7 to 8
Oct 31, 2023 to Mar 29, 2024
Advisory employees · 13 to 14
Oct 31, 2023 to Mar 29, 2024
Pooled vehicle clients · 7 to 8
Oct 31, 2023 to Mar 29, 2024
Employees · 20 to 19
Oct 31, 2023 to Mar 29, 2024
Private funds · 7 to 8
Oct 31, 2023 to Mar 29, 2024
Discretionary RAUM · $3.0B to $3.2B
Oct 31, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $3.0B to $3.2B
Oct 31, 2023 to Mar 29, 2024
RAUM · $3.0B to $3.2B
Oct 31, 2023 to Mar 29, 2024
Advisory employees · 12 to 13
Apr 22, 2022 to Mar 31, 2023
BD registered reps · 1 to 0
Apr 22, 2022 to Mar 31, 2023
Employees · 18 to 20
Apr 22, 2022 to Mar 31, 2023
Discretionary RAUM · $2.5B to $3.0B
Apr 22, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $2.5B to $3.0B
Apr 22, 2022 to Mar 31, 2023
RAUM · $2.5B to $3.0B
Apr 22, 2022 to Mar 31, 2023
Accounts · 5 to 7
Dec 24, 2021 to Mar 30, 2022
Advisory employees · 11 to 12
Dec 24, 2021 to Mar 30, 2022
Pooled vehicle clients · 9 to 7
Dec 24, 2021 to Mar 30, 2022
Employees · 15 to 18
Dec 24, 2021 to Mar 30, 2022
Private funds · 5 to 7
Dec 24, 2021 to Mar 30, 2022
Discretionary RAUM · $1.3B to $2.5B
Dec 24, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $1.3B to $2.5B
Dec 24, 2021 to Mar 30, 2022
RAUM · $1.3B to $2.5B
Dec 24, 2021 to Mar 30, 2022
Accounts · 9 to 5
May 13, 2020 to Mar 26, 2021
Advisory employees · 10 to 11
May 13, 2020 to Mar 26, 2021

Signals

5 dated events

W••••••• H••••• I••••••••• L•• reported RAUM $7.0B, up 90% from $3.7B (2025-09-19 to 2026-03-31)
Mar 31, 2026 · RAUM change · derived
W••••••• H••••• I••••••••• L•• reported RAUM $2.5B, up 88% from $1.3B (2021-12-24 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived
Moore David Pontius (Partner) appeared on Schedule A of W••••••• H••••• I••••••••• L••
Mar 30, 2022 · Control person joined · fact
W••••••• H••••• I••••••••• L•• reported RAUM $1.6B, up 162% from $596.3M (2018-11-16 to 2019-03-28)
Mar 28, 2019 · RAUM change · derived
Joseph Christopher Burnes (Partner) appeared on Schedule A of W••••••• H••••• I••••••••• L••
Mar 28, 2019 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

W••••••• H••••• I••••••••• L•• · Independent Sponsors
shared crd · capital_provider
W••••••• H••••• I••••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/windrose-health-investorsreportedpublic record, Form ADV, Sep 18, 2026
Website: W•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 212-887-2105reportedpublic record, Form ADV, May 5, 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