DFX Intelligence
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W••••••••• C•••••• P••••••• L••
Asset manager (funds and pooled vehicles)SEC-registered1 private funds· New York, New York
Asset manager (funds and pooled vehicles), based in New York, New York, reporting $99.3M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $99.3M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -87%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $771MRAUM now $99.3M
- employees (Item 5.A) 4Peer median -0.0416666666666667
- Contact points 1
Every filed figure, and the identifiersCRD 167801 · SEC 801-78092 · 27 filingsShowHide
CRD 167801SEC 801-78092First filing on the tape May 15, 2013, latest Mar 24, 2026SEC status approved since Oct 7, 2013IAPD
RAUM
$99.3M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$99.3M as of Mar 24, 2026
Mar 31, 2014$264M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 31, 20140 then
Employees (5.A)4 as of Mar 24, 2026
Mar 31, 201410 then
Private funds1 as of Mar 24, 2026
Mar 31, 20143 then
RAUM -87% over the last fiscal year-63% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $49.6MderivedRAUM 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
- -87%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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$99.3M100%
- 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
- 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=true 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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• C• E••••••• M••••• F•••• L••no longer reported | Hedge Fund | $537M | 17 | Mar 13, 2017 |
| W••••••••• C• M••••• F••• L•••no longer reported | Hedge Fund | $522M | 26 | May 15, 2013 |
| W••••••••• C• O••••••• F••• L•••no longer reported | Hedge Fund | $325M | 34 | May 15, 2013 |
| W••••••••• C• P••••••• L•no longer reported | Hedge Fund | $184M | 23 | May 15, 2013 |
| P• M•••••• F•••• S••• • S••••••••• P•••••••• 4•no longer reported | Hedge Fund | $143M | 7 | Mar 17, 2021 |
| W••••••••• C• C••••• P••••••• L• | Hedge Fund | $99.3M | 15 | Mar 24, 2026 |
| W••••••••• C• S••••• M••••• F••• L•••no longer reported | Hedge Fund | $52.2M | 13 | Aug 18, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••• E•••••• · Sole Managing Member/Managing Partnercontrolsince 12/2009 · owns 75% or more
- K•••• A•••••• M• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
- W••••••••• C•••••• ••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 24, 2026employees (Item 5.A) moved from 10.0 to 4.0 (-60.0%) between the annual amendments of 2025-03-27 and 2026-03-24; the peer median change was -4.0% (51 comparable advisers, 4.0th percentile of changes)peers: ASSET_M••••••, under $100M (51) · 4.0% percentile
- RAUM down 50 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $770,693,758 to $99,284,522 (-87.0%) between the annual amendments of 2025-03-27 and 2026-03-24; the peer median change was -12.0% (97 comparable advisers, 6.0th percentile of changes)peers: ASSET_M••••••, under $100M (97) · 6.3% percentile
What changed
consecutive filings, newest first
- Accounts · 12 to 2Mar 27, 2025 to Mar 24, 2026
- Advisory employees · 7 to 2Mar 27, 2025 to Mar 24, 2026
- Pooled vehicle clients · 12 to 2Mar 27, 2025 to Mar 24, 2026
- Employees · 10 to 4Mar 27, 2025 to Mar 24, 2026
- Private funds · 4 to 1Mar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $771M to $99.3MMar 27, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $771M to $99.3MMar 27, 2025 to Mar 24, 2026
- RAUM · $771M to $99.3MMar 27, 2025 to Mar 24, 2026
- Accounts · 11 to 12Mar 19, 2024 to Mar 27, 2025
- Pooled vehicle clients · 11 to 12Mar 19, 2024 to Mar 27, 2025
- Employees · 12 to 10Mar 19, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.5B to $771MMar 19, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.5B to $771MMar 19, 2024 to Mar 27, 2025
- RAUM · $1.5B to $771MMar 19, 2024 to Mar 27, 2025
- Advisory employees · 8 to 7Mar 27, 2023 to Mar 19, 2024
- Employees · 13 to 12Mar 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $2.0B to $1.5BMar 27, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $2.0B to $1.5BMar 27, 2023 to Mar 19, 2024
- RAUM · $2.0B to $1.5BMar 27, 2023 to Mar 19, 2024
- Accounts · 8 to 11Nov 3, 2022 to Mar 27, 2023
- Advisory employees · 9 to 8Nov 3, 2022 to Mar 27, 2023
- Pooled vehicle clients · 8 to 11Nov 3, 2022 to Mar 27, 2023
- Employees · 14 to 13Nov 3, 2022 to Mar 27, 2023
- Other offices · 1 to 0Nov 3, 2022 to Mar 27, 2023
- Discretionary RAUM · $2.1B to $2.0BNov 3, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $2.1B to $2.0BNov 3, 2022 to Mar 27, 2023
- RAUM · $2.1B to $2.0BNov 3, 2022 to Mar 27, 2023
- Private funds · 3 to 4Mar 15, 2022 to Aug 18, 2022
- Advisory employees · 8 to 9Aug 26, 2021 to Mar 15, 2022
- Employees · 13 to 14Aug 26, 2021 to Mar 15, 2022
- Discretionary RAUM · $1.5B to $2.1BAug 26, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $1.5B to $2.1BAug 26, 2021 to Mar 15, 2022
- RAUM · $1.5B to $2.1BAug 26, 2021 to Mar 15, 2022
- Other offices · 0 to 1Apr 29, 2021 to Aug 26, 2021
- Accounts · 7 to 8Feb 24, 2020 to Mar 17, 2021
- Pooled vehicle clients · 7 to 8Feb 24, 2020 to Mar 17, 2021
- Private funds · 2 to 3Feb 24, 2020 to Mar 17, 2021
- Discretionary RAUM · $1.1B to $1.5BFeb 24, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $1.1B to $1.5BFeb 24, 2020 to Mar 17, 2021
Signals
13 dated events
- ••• LockedMar 24, 2026 · RAUM change · derived
- ••• LockedMar 24, 2026 · private fund first reported · fact
- ••• LockedMar 24, 2026 · private fund no longer reported · inference
- ••• LockedMar 24, 2026 · private fund no longer reported · inference
- ••• LockedMar 24, 2026 · private fund no longer reported · inference
- ••• LockedMar 24, 2026 · private fund no longer reported · inference
- ••• LockedMar 24, 2026 · ria private fund assets change · fact
- ••• LockedMar 27, 2025 · RAUM change · derived
- ••• LockedMar 15, 2022 · RAUM change · derived
- ••• LockedMar 17, 2021 · RAUM change · derived
- ••• LockedJan 29, 2020 · Control person left · inference
- ••• LockedJan 29, 2020 · Control person joined · fact
- ••• LockedMay 15, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 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