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••••••• I••••••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 166693SEC 801-77595IAPD
Latest filing Mar 30, 2016
First filing on the tape Jan 23, 2013 · 11 filings
RAUM
$1.4B
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
17
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$1.4B gross assets
History
11 filings and snapshots on the tape
RAUM$1.4B as of Mar 30, 2016
Mar 31, 2014$579M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20140 then
Employees (5.A)17 as of Mar 30, 2016
Mar 31, 201413 then
Private funds2 as of Mar 30, 2016
Mar 31, 20141 then
RAUM +3.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$201MderivedRAUM 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
+3.7%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
$1.4B, 7 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
  • 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)
  • 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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 7 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W••••••• M••••• F•••• L•Hedge Fund$11.9M70Jun 12, 2013
      A••••• S•••• M••••• L•Hedge Fund$3.7M2Nov 5, 2015
      W••••••• I••••••••• F•••• L•no longer reportedHedge Fund$00Jun 12, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• C••••••• H••••••• · Limited Partner/Director Of Researchcontrol
        since 01/2016 · owns 5% to 10%
      • D•••••••• B••••••• J••••• · Chief Compliance Officer/Chief Financial Officer/Chief Operating Officercontrol
        since 11/2012 · owns less than 5%
      • E•••••• M•••••••• L• · Limited Partner/Senior Analystcontrol
        since 01/2014 · owns 5% to 10%
      • R••••••••• B••••••• T••••• · Managing Partner/Limited Partner/Chief Investment Officercontrol
        since 11/2012 · owns 75% or more
      • H•••• C••••• A•••• · Senior Managing Membercontrol
        since 08/1998 · owns 25% to 50% of R•••• L••
      • R••••••••• B••••••• T••••• · Managing Membercontrol
        since 11/2012 · owns 75% or more of W••••••• G• M•• L••
      • R••••••••• B••••••• T••••• · Managing Membercontrol
        since 11/2012 · owns 75% or more of W••••••• I••••••••• M••••••••• G•• L••
      • S••••• D•••••• H••••••• · Senior Managing Membercontrol
        since 08/1998 · owns 25% to 50% of R•••• L••
      Entity owners
      • W••••••• G• M•• L•• · Managing Member - W••••••• Gp LLC (Relying Adviser)
        direct · owns 75% or more
      • W••••••• I••••••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      • R•••• L•• · Managing Member
        indirect · owns 75% or more of R•••••••• Capital Group, LLC
      • R•••••••• C•••••• G•••• L•••• · Managing Member
        indirect · owns 75% or more of R•••••••• S•••••••• P••••••• F••• G•• L••
      • R•••••••• S•••••••• P••••••• F••• G•• L•• · General Partner
        indirect · owns F of R•••••••• S•••••••• P••••••• F•••• L•••
      • R•••••••• S•••••••• P••••••• F•••• L••• · Limited Partner And Member - W••••••• Gp LLC (Relying Adviser)
        direct · owns 10% to 25%
      • T•••••• R••••••••• S••••• O• T•••• · Limited Partner
        indirect · owns 25% to 50% of R•••••••• S•••••••• P••••••• F•••• L•••
      Related persons
      Schedule D 7.A
      • W••••••• G•• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 9
        Nov 5, 2015 to Mar 30, 2016
      • Assets in custody · $1.4B to $1.4B
        Nov 5, 2015 to Mar 30, 2016
      • Employees · 14 to 17
        Nov 5, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.4B to $1.4B
        Nov 5, 2015 to Mar 30, 2016
      • RAUM · $1.4B to $1.4B
        Nov 5, 2015 to Mar 30, 2016
      • Accounts · 4 to 7
        Apr 7, 2015 to Nov 5, 2015
      • Assets in custody · $1.4B to $1.4B
        Apr 7, 2015 to Nov 5, 2015
      • Private funds · 1 to 2
        Apr 7, 2015 to Nov 5, 2015
      • Discretionary RAUM · $1.4B to $1.4B
        Apr 7, 2015 to Nov 5, 2015
      • RAUM · $1.4B to $1.4B
        Apr 7, 2015 to Nov 5, 2015
      • Assets in custody · $579M to $1.4B
        Jul 2, 2014 to Mar 31, 2015
      • Employees · 13 to 14
        Jul 2, 2014 to Mar 31, 2015
      • Discretionary RAUM · $579M to $1.4B
        Jul 2, 2014 to Mar 31, 2015
      • RAUM · $579M to $1.4B
        Jul 2, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 7
        Jun 12, 2013 to Mar 31, 2014
      • Assets in custody · $0 to $579M
        Jun 12, 2013 to Mar 31, 2014
      • Employees · 8 to 13
        Jun 12, 2013 to Mar 31, 2014
      • Private funds · 2 to 1
        Jun 12, 2013 to Mar 31, 2014
      • Discretionary RAUM · $157M to $579M
        Jun 12, 2013 to Mar 31, 2014
      • RAUM · $157M to $579M
        Jun 12, 2013 to Mar 31, 2014
      • Accounts · 0 to 4
        Feb 6, 2013 to Jun 12, 2013
      • Assets in custody · unset to 0.0
        Feb 6, 2013 to Jun 12, 2013
      • Custody of client assets · false to true
        Feb 6, 2013 to Jun 12, 2013
      • Employees · 7 to 8
        Feb 6, 2013 to Jun 12, 2013
      • Private funds · unset to 2
        Feb 6, 2013 to Jun 12, 2013
      • Discretionary RAUM · $0 to $157M
        Feb 6, 2013 to Jun 12, 2013
      • RAUM · $0 to $157M
        Feb 6, 2013 to Jun 12, 2013
      • Related adviser · false to true
        Feb 6, 2013 to Jun 12, 2013
      • Related bank · false to true
        Feb 6, 2013 to Jun 12, 2013
      Signals
      1 dated events
      • W••••••• I••••••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jan 23, 2013 · First SEC registration · fact
      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