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Former SEC-registered adviser

W••• N•••• A••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 167551SEC 801-78272IAPD
Latest filing Mar 22, 2019
First filing on the tape Jun 25, 2013 · 9 filings
RAUM
$1.7M
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
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$1.7M gross assets
History
9 filings and snapshots on the tape
RAUM$1.7M as of Mar 22, 2019
Feb 24, 2014$336M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 22, 2019
Feb 24, 20140 then
Employees (5.A)2 as of Mar 22, 2019
Feb 24, 20142 then
Private funds1 as of Mar 22, 2019
Feb 24, 20141 then
RAUM -100% over the last fiscal year-84% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 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
$1.7MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, 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)
  • 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$1.7M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, 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••• N•••• H••••••• L••Private Equity Fund$1.7M3Nov 22, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• S•••••• J••• · Chief Financial Officer, Chief Compliance Officer & Secretarycontrol
        since 04/2013 · owns less than 5%
      • G•••••• J•••••••• N••• · Chief Executive Officer & Presidentcontrol
        since 04/2013 · owns less than 5%
      • G•••••• J•••••••• N••• · Member & Ownercontrol
        since 04/2013 · owns 75% or more of W••• N•••• L••
      Entity owners
      • W••• N•••• L•• · Member & Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • Corporate clients · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • HNW clients · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • Individual clients · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • Pension plan clients · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • HNW RAUM · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • Individual RAUM · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • Non-discretionary RAUM · $468M to $1.7M
        Mar 14, 2018 to Mar 22, 2019
      • Pension RAUM · unset to 0.0
        Mar 14, 2018 to Mar 22, 2019
      • Pooled vehicle RAUM · $468M to $1.7M
        Mar 14, 2018 to Mar 22, 2019
      • RAUM · $468M to $1.7M
        Mar 14, 2018 to Mar 22, 2019
      • Pooled vehicle clients · unset to 1.0
        Jan 31, 2017 to Mar 14, 2018
      • Other offices · unset to 1.0
        Jan 31, 2017 to Mar 14, 2018
      • Non-discretionary RAUM · $469M to $468M
        Jan 31, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 467653278.0
        Jan 31, 2017 to Mar 14, 2018
      • RAUM · $469M to $468M
        Jan 31, 2017 to Mar 14, 2018
      • Non-discretionary RAUM · $457M to $469M
        Mar 17, 2016 to Jan 31, 2017
      • RAUM · $457M to $469M
        Mar 17, 2016 to Jan 31, 2017
      • Accounts · 2 to 1
        Mar 24, 2015 to Mar 17, 2016
      • Discretionary RAUM · $50.0M to $0
        Mar 24, 2015 to Mar 17, 2016
      • Non-discretionary RAUM · $341M to $457M
        Mar 24, 2015 to Mar 17, 2016
      • RAUM · $391M to $457M
        Mar 24, 2015 to Mar 17, 2016
      • Non-discretionary RAUM · $286M to $341M
        Feb 24, 2014 to Mar 24, 2015
      • RAUM · $336M to $391M
        Feb 24, 2014 to Mar 24, 2015
      • Accounts · unset to 2.0
        Jul 12, 2013 to Nov 22, 2013
      • Private funds · unset to 1
        Jul 12, 2013 to Nov 22, 2013
      • Discretionary RAUM · unset to 50000000.0
        Jul 12, 2013 to Nov 22, 2013
      • Non-discretionary RAUM · unset to 286000000.0
        Jul 12, 2013 to Nov 22, 2013
      • RAUM · unset to 336000000.0
        Jul 12, 2013 to Nov 22, 2013
      Signals
      2 dated events
      • W••• N•••• A••••••• L•• reported RAUM $1.7M, down 100% from $467.7M (2018-03-14 to 2019-03-22)
        Mar 22, 2019 · RAUM change · derived
      • W••• N•••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 25, 2013 · First SEC registration · fact
      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