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•••••••• A••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161845SEC 801-74357IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 17, 2012 · 13 filings
RAUM
$154M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$154M gross assets
History
13 filings and snapshots on the tape
RAUM$154M as of Mar 29, 2019
Apr 1, 2013$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Apr 1, 20130 then
Employees (5.A)6 as of Mar 29, 2019
Apr 1, 201311 then
Private funds1 as of Mar 29, 2019
Apr 1, 20131 then
RAUM +0.9% over the last fiscal year-0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$154MderivedRAUM 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
+0.9%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
$154M, 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 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
  • Pooled investment vehicles$154M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$154M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••••••• R• F•••••• F••• •••• L•Hedge Fund$154M12Feb 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• M•••• · Member Of Management Committeecontrol
        since 02/2010 · owns less than 5%
      • Z••••• A••••••••• K•••• · Member Of Management Committeecontrol
        since 02/2010 · owns less than 5%
      • B•••••• K•••••• · Trusteecontrol
        since 04/2010 · owns F of W• I••••••••• T••••
      • M•••••••• M••• · Trusteecontrol
        since 04/2010 · owns F of W• I••••••••• T••••
      • K•••••••• M•••••• · Managing Director
        since 02/2010 · owns less than 5%
      • M••••••• A•••••• · Comptroller And Secretary, Chief Compliance Officer
        since 02/2010 · owns less than 5%
      • T•••••••• M•••••• · Asset Manager
        since 02/2010 · owns less than 5%
      Entity owners
      • W••••••• I••••••••• L•• · Sole Member
        direct · owns 75% or more
      • W• I••••••••• T•••• · Member
        indirect · owns 75% or more of W••••••• I••••••••• L••
      Related persons
      Schedule D 7.A
      • W•••••••• R• F•••••• F••• ••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 6
        Mar 30, 2018 to Mar 29, 2019
      • Assets in custody · $152M to $154M
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 8 to 6
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $152M to $154M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $152M to $154M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $152M to $154M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $160M to $152M
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $160M to $152M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 152200000.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $160M to $152M
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $186M to $160M
        Apr 21, 2016 to Mar 31, 2017
      • Discretionary RAUM · $186M to $160M
        Apr 21, 2016 to Mar 31, 2017
      • RAUM · $186M to $160M
        Apr 21, 2016 to Mar 31, 2017
      • Advisory employees · 10 to 8
        Apr 5, 2016 to Apr 21, 2016
      • Employees · 11 to 8
        Apr 5, 2016 to Apr 21, 2016
      • Assets in custody · $155M to $186M
        Mar 30, 2016 to Apr 5, 2016
      • Discretionary RAUM · $155M to $186M
        Mar 30, 2016 to Apr 5, 2016
      • RAUM · $155M to $186M
        Mar 30, 2016 to Apr 5, 2016
      • Assets in custody · $179M to $155M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $179M to $155M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $179M to $155M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $188M to $179M
        Mar 21, 2014 to Mar 31, 2015
      • Discretionary RAUM · $188M to $179M
        Mar 21, 2014 to Mar 31, 2015
      • RAUM · $188M to $179M
        Mar 21, 2014 to Mar 31, 2015
      • Assets in custody · $146M to $188M
        Apr 25, 2013 to Mar 21, 2014
      • Discretionary RAUM · $146M to $188M
        Apr 1, 2013 to Apr 25, 2013
      • RAUM · $146M to $188M
        Apr 1, 2013 to Apr 25, 2013
      • Advisory employees · unset to 10.0
        Feb 17, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 17, 2012 to Apr 1, 2013
      • Assets in custody · $188M to $146M
        Feb 17, 2012 to Apr 1, 2013
      • Employees · unset to 11.0
        Feb 17, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 17, 2012 to Apr 1, 2013
      • Discretionary RAUM · $188M to $146M
        Feb 17, 2012 to Apr 1, 2013
      • RAUM · $188M to $146M
        Feb 17, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Across the graphs

      W•••••••• A••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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