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•••••• G•••• I•• I•••
Latest filing Apr 30, 2026
First filing on the tape Feb 14, 2012 · 16 filings
SEC status approved since Jun 15, 2026
RAUM
$370M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$370M as of Apr 30, 2026
Mar 27, 2013$271M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Mar 27, 20130 then
Employees (5.A)1 as of Apr 30, 2026
Mar 27, 20131 then
Private funds2 as of Apr 30, 2026
Mar 27, 20133 then
RAUM n/a over the last fiscal year+78% a year over three
Practice profile
derived from the filing of Apr 30, 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
- $185MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $352M, 1 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
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$370M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $352M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| E••• H•••••••• I•••no longer reported | Private Equity Fund | $117M | 29 | Feb 14, 2012 |
| C•• A••••••••• C••• L••• | Private Equity Fund | $76.3M | 20 | Feb 14, 2012 |
| P•• A••••••••• I••• | Private Equity Fund | $30.0M | 8 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••• M•••• N••••••• · Managing Director, Chief Compliance Officercontrolsince 01/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (1567 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,567) · 0.0% percentile
- business activity changedChange between filings · filing Apr 30, 2026advises private funds (Item 7.B): no on the filing of 2023-03-27, yes on the filing of 2026-04-30peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 27, 2023 to Apr 30, 2026
- Assets in custody · $23.4M to $352MMar 27, 2023 to Apr 30, 2026
- Employees · 2 to 1Mar 27, 2023 to Apr 30, 2026
- Financial planning clients · unset to Mar 27, 2023 to Apr 30, 2026
- HQ city · RIDGEFIELD to Mar 27, 2023 to Apr 30, 2026
- HQ state · CT to Mar 27, 2023 to Apr 30, 2026
- Private funds · unset to 2Mar 27, 2023 to Apr 30, 2026
- Non-discretionary RAUM · $66.1M to $370MMar 27, 2023 to Apr 30, 2026
- Pooled vehicle RAUM · $66.1M to $370MMar 27, 2023 to Apr 30, 2026
- RAUM · $66.1M to $370MMar 27, 2023 to Apr 30, 2026
- Assets in custody · $121M to $23.4MMay 6, 2022 to Mar 27, 2023
- HQ city · NEW CANAAN to RIDGEFIELDMay 6, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $185M to $66.1MMay 6, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $185M to $66.1MMay 6, 2022 to Mar 27, 2023
- RAUM · $185M to $66.1MMay 6, 2022 to Mar 27, 2023
- Assets in custody · $125M to $121MJun 10, 2021 to Mar 15, 2022
- Non-discretionary RAUM · $187M to $185MJun 10, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $187M to $185MJun 10, 2021 to Mar 15, 2022
- RAUM · $187M to $185MJun 10, 2021 to Mar 15, 2022
- Assets in custody · $93.1M to $125MMar 29, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $118M to $187MMar 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $118M to $187MMar 29, 2020 to Mar 31, 2021
- RAUM · $118M to $187MMar 29, 2020 to Mar 31, 2021
- Assets in custody · $106M to $93.1MMar 28, 2019 to Mar 29, 2020
- Non-discretionary RAUM · $124M to $118MMar 28, 2019 to Mar 29, 2020
- Pooled vehicle RAUM · $124M to $118MMar 28, 2019 to Mar 29, 2020
- RAUM · $124M to $118MMar 28, 2019 to Mar 29, 2020
- Assets in custody · $160M to $106MMar 29, 2018 to Mar 28, 2019
- Private funds · 2 to unsetMar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $160M to $0Mar 29, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $0 to $124MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $160M to $124MMar 29, 2018 to Mar 28, 2019
- RAUM · $160M to $124MMar 29, 2018 to Mar 28, 2019
- Advisory employees · 3 to 2Jun 5, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Jun 5, 2017 to Mar 29, 2018
- Assets in custody · $162M to $160MJun 5, 2017 to Mar 29, 2018
- Employees · 3 to 2Jun 5, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Jun 5, 2017 to Mar 29, 2018
- Discretionary RAUM · $162M to $160MJun 5, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 159547545.0Jun 5, 2017 to Mar 29, 2018
Signals
2 dated events
- W•••••• G•••• I•• I••• reported RAUM $369.8M, up 460% from $66.1M (2023-03-27 to 2026-04-30)Apr 30, 2026 · RAUM change · derived
- W•••••• G•••• I•• I••• reported RAUM $66.1M, down 64% from $185.1M (2022-05-06 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- W•••••• G•••• I•• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- W••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-240-7897reportedpublic record, Form ADV, Apr 30, 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