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•••••• C•••••• M••••••••• L•
Latest filing Mar 30, 2026
First filing on the tape Jun 24, 2016 · 17 filings
SEC status approved since Jul 1, 2016
RAUM
$1.5B
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
10
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2026
Mar 24, 2017$205M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 24, 20170 then
Employees (5.A)10 as of Mar 30, 2026
Mar 24, 20175 then
Private funds4 as of Mar 30, 2026
Mar 24, 20171 then
RAUM +17% over the last fiscal year+4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 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
- $258MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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
- 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)
- 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$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• C•••••• M••••• F•••• L• | Hedge Fund | $1.0B | 124 | Mar 28, 2013 |
| W•••••• C•••••• P••••••• I•• L• | Hedge Fund | $70.4M | 22 | Mar 29, 2019 |
| W•••••• C••••••••• L•no longer reported | Hedge Fund | $54.4M | 20 | Mar 30, 2020 |
| W•••••• C•••••• P•••••••• L•no longer reported | Hedge Fund | $48.1M | 31 | Mar 26, 2012 |
| W•••••• P•• I••• L• | Private Equity Fund | $32.0M | 30 | Feb 23, 2022 |
| W•••••• P•• I•• L• | Private Equity Fund | $27.8M | 41 | Feb 23, 2022 |
| W•••••• C•••••••• I•• L•no longer reported | Hedge Fund | $20.4M | 21 | Nov 19, 2020 |
| W•••••• C•••••• O••••••• F•••• L•••no longer reported | Hedge Fund | $17.7M | 19 | Mar 28, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••••• R••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- D•••• J•••••••• G••••• · Chief Operating Officercontrolsince 08/2011 · owns less than 5%
- D••••• J••••• W•••••• · Limited Partnercontrolsince 01/2010 · owns 75% or more
- D••••• J••••• W•••••• · Managing Membercontrolsince 09/2009 · owns 75% or more of W•••••• C•••••• G•• L••
Entity owners
- W•••••• C•••••• G•• L•• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- W•••••• C•••••• G•••••• P••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Hoboken, NJ
- New York, NY
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.3B to $1.5BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.3B to $1.5BMar 31, 2025 to Mar 30, 2026
- RAUM · $1.3B to $1.5BMar 31, 2025 to Mar 30, 2026
- Employees · 11 to 10Nov 18, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Nov 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.2B to $1.3BNov 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.2B to $1.3BNov 18, 2024 to Mar 31, 2025
- RAUM · $1.2B to $1.3BNov 18, 2024 to Mar 31, 2025
- Other offices · 1 to 2Mar 29, 2024 to Nov 18, 2024
- Other offices · 2 to 1Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.4B to $1.2BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.4B to $1.2BMar 30, 2023 to Mar 29, 2024
- RAUM · $1.4B to $1.2BMar 30, 2023 to Mar 29, 2024
- Accounts · 8 to 6Jan 27, 2023 to Mar 30, 2023
- Advisory employees · 6 to 5Jan 27, 2023 to Mar 30, 2023
- Pooled vehicle clients · 8 to 6Jan 27, 2023 to Mar 30, 2023
- Employees · 12 to 11Jan 27, 2023 to Mar 30, 2023
- Other offices · 3 to 2Jan 27, 2023 to Mar 30, 2023
- Private funds · 6 to 4Jan 27, 2023 to Mar 30, 2023
- Discretionary RAUM · $2.0B to $1.4BJan 27, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $2.0B to $1.4BJan 27, 2023 to Mar 30, 2023
- RAUM · $2.0B to $1.4BJan 27, 2023 to Mar 30, 2023
- Accounts · 6 to 8Feb 23, 2022 to Mar 30, 2022
- Advisory employees · 5 to 6Feb 23, 2022 to Mar 30, 2022
- Pooled vehicle clients · 6 to 8Feb 23, 2022 to Mar 30, 2022
- Employees · 10 to 12Feb 23, 2022 to Mar 30, 2022
- Discretionary RAUM · $3.4B to $2.0BFeb 23, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $3.4B to $2.0BFeb 23, 2022 to Mar 30, 2022
- RAUM · $3.4B to $2.0BFeb 23, 2022 to Mar 30, 2022
- Private funds · 4 to 6Oct 26, 2021 to Feb 23, 2022
- Accounts · 5 to 6Nov 19, 2020 to Mar 30, 2021
- Advisory employees · 4 to 5Nov 19, 2020 to Mar 30, 2021
- Pooled vehicle clients · 5 to 6Nov 19, 2020 to Mar 30, 2021
- Employees · 8 to 10Nov 19, 2020 to Mar 30, 2021
- HQ city · NEW YORK to GREENWICHNov 19, 2020 to Mar 30, 2021
- HQ state · NY to CTNov 19, 2020 to Mar 30, 2021
- Other offices · 1 to 3Nov 19, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.3B to $3.4BNov 19, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.3B to $3.4BNov 19, 2020 to Mar 30, 2021
- RAUM · $1.3B to $3.4BNov 19, 2020 to Mar 30, 2021
Signals
8 dated events
- W•••••• C•••••• M••••••••• L• reported RAUM $1.4B, down 31% from $2.0B (2023-01-27 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Reid Douglas Browman (Chief Compliance Officer) appeared on Schedule A of W•••••• C•••••• M••••••••• L•Jan 27, 2023 · Control person joined · fact
- W•••••• C•••••• M••••••••• L• reported RAUM $2.0B, down 42% from $3.4B (2022-02-23 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- W•••••• C•••••• M••••••••• L• reported RAUM $3.4B, up 154% from $1.3B (2020-11-19 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- W•••••• C•••••• M••••••••• L• reported RAUM $1.3B, up 95% from $685.6M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- W•••••• C•••••• M••••••••• L• reported RAUM $685.6M, up 81% from $378.7M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- W•••••• C•••••• M••••••••• L• reported RAUM $378.7M, up 85% from $204.7M (2017-03-24 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- W•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 24, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W•••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- W•••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
- W•••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-716-2624reportedpublic record, Form ADV, Mar 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