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••••• P•••••••

Former SEC-registered adviserSausalito, CaliforniaCRD 160473SEC 801-73514IAPD
Legal name W••••• P••••••• S•••••• C••••••• L••
Latest filing Mar 29, 2017
First filing on the tape Feb 13, 2012 · 9 filings
RAUM
$270M
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
7
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$270M gross assets
History
9 filings and snapshots on the tape
RAUM$270M as of Mar 29, 2017
Apr 1, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Apr 1, 20130 then
Employees (5.A)7 as of Mar 29, 2017
Apr 1, 201317 then
Private funds5 as of Mar 29, 2017
Apr 1, 20135 then
RAUM -69% over the last fiscal year-39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
$54.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-69%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, otherreportedItem 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
  • 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)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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••••• P••••••• V• L•••Private Equity Fund$115M163Feb 13, 2012
      W••••• P••••••• C•••••• I•• L•••Private Equity Fund$9.6M148Feb 13, 2012
      W••••• P••••••• C•••••• I••• L•••Venture Capital Fund$2.5M59Feb 13, 2012
      W•• E••••••••• F••• I•• L•••Private Equity Fund$722,26653Feb 13, 2012
      W•• E••••••••• F•••• L•••Venture Capital Fund$384,57277Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• M••••••• F•••••• · Managing Partnercontrol
        since 09/1992 · owns 50% to 75%
      • L••••••• M••••••• P••• · Managing Partnercontrol
        since 09/1992 · owns 50% to 75%
      • L••••• K••••••••• M• · Chief Financial Officer
        since 08/2013 · owns less than 5%
      • M•••••• T••••••• A•• · Chief Operating Officer And Chief Compliance Officer
        since 01/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      • W••••• P••••••• C•••••• M••••••••• I••• L••
        investment adviserpooled vehicle sponsorn
      • W••••• P••••••• C•••••• M••••••••• I•• L••
        investment adviserpooled vehicle sponsorn
      • W••••• P••••••• M••••••••• V• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $875M to $270M
        Oct 13, 2016 to Mar 29, 2017
      • RAUM · $875M to $270M
        Oct 13, 2016 to Mar 29, 2017
      • HQ city · SAN F••••••CO to SAUSALITO
        Mar 28, 2016 to Oct 13, 2016
      • Advisory employees · 10 to 7
        May 6, 2015 to Mar 28, 2016
      • Employees · 10 to 7
        May 6, 2015 to Mar 28, 2016
      • Discretionary RAUM · $1.0B to $875M
        May 6, 2015 to Mar 28, 2016
      • RAUM · $1.0B to $875M
        May 6, 2015 to Mar 28, 2016
      • RAUM · $1.0B to $1.0B
        Mar 27, 2015 to May 6, 2015
      • Discretionary RAUM · $1.0B to $1.0B
        Mar 27, 2015 to May 6, 2015
      • Advisory employees · 14 to 10
        Mar 27, 2014 to Mar 27, 2015
      • Employees · 14 to 10
        Mar 27, 2014 to Mar 27, 2015
      • Discretionary RAUM · $1.2B to $1.0B
        Mar 27, 2014 to Mar 27, 2015
      • RAUM · $1.2B to $1.0B
        Mar 27, 2014 to Mar 27, 2015
      • Advisory employees · 15 to 14
        May 3, 2013 to Mar 27, 2014
      • Employees · 17 to 14
        May 3, 2013 to Mar 27, 2014
      • Discretionary RAUM · $1.3B to $1.2B
        May 3, 2013 to Mar 27, 2014
      • RAUM · $1.3B to $1.2B
        May 3, 2013 to Mar 27, 2014
      • Advisory employees · unset to 15.0
        Feb 13, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Apr 1, 2013
      • Employees · unset to 17.0
        Feb 13, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.7B to $1.3B
        Feb 13, 2012 to Apr 1, 2013
      • RAUM · $1.7B to $1.3B
        Feb 13, 2012 to Apr 1, 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