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••••••••• A•••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Nov 2, 2015 · 26 filings
SEC status approved since Jun 24, 2016
RAUM
$4.2B
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
15
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$4.2B as of Mar 27, 2026
Mar 27, 2017$596M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 27, 20170 then
Employees (5.A)15 as of Mar 27, 2026
Mar 27, 20179 then
Private funds2 as of Mar 27, 2026
Mar 27, 20171 then
RAUM -13% over the last fiscal year-3.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $1.0BderivedRAUM 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
- -13%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
- $1.5B, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 1 clientsreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••••• C••••• O••••••••• M••••• F•••• L••• | Hedge Fund | $4.7B | 166 | Feb 25, 2014 |
| W••••••••• S••••••• C••••• O••••••••• M•• L•••no longer reported | Hedge Fund | $216M | 5 | Feb 20, 2019 |
| H•• S••••• F•••• L• • S••••• I• | Hedge Fund | $31.0M | 22 | Feb 22, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• C••••••••• J•••• · Senior Partner & Portfolio Managercontrolsince 01/2024 · owns less than 5%
- D••••••••• J•••••• A••••• · Partner & Senior Investment Professionalcontrolsince 01/2023 · owns less than 5%
- F••••••••• P•••• M• · Senior Partner & Head Of Business Developmentcontrolsince 01/2020 · owns 25% to 50%
- G••••••• A•••••• F••• · Senior Partner & Senior Investment Professionalcontrolsince 01/2021 · owns 5% to 10%
- M••••••••• V••••••• R•••••• · Chief Compliance Officer & Chief Financial Officercontrolsince 10/2013 · owns less than 5%
- R••••••• S••••• S•••••• · Managing Partner & Chief Investment Officercontrolsince 05/2013 · owns 25% to 50%
- R••••••• S••••• S•••••• · Managing Membercontrolsince 10/2013 · owns 75% or more of W••••••••• A•••• M••••••••• G•• L••
- S•••••••• B••••• T••••••• · Passive Ownersince 04/2024 · owns 5% to 10%
Entity owners
- W••••••••• A•••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- H•• S••••• G•• L••pooled vehicle sponsory
- W••••••••• A•••• M••••••••• G•• L••y
- W••••••••• C••••• O••••••••• 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 · 19 to 15Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $1.8B to $1.5BMar 28, 2025 to Mar 27, 2026
- Employees · 19 to 15Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $4.8B to $4.2BMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $4.8B to $4.2BMar 28, 2025 to Mar 27, 2026
- RAUM · $4.8B to $4.2BMar 28, 2025 to Mar 27, 2026
- Advisory employees · 17 to 19May 31, 2024 to Mar 28, 2025
- Assets in custody · $1.8B to $1.8BMay 31, 2024 to Mar 28, 2025
- Employees · 17 to 19May 31, 2024 to Mar 28, 2025
- Financial planning clients · unset to May 31, 2024 to Mar 28, 2025
- Discretionary RAUM · $4.8B to $4.8BMay 31, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $4.8B to $4.8BMay 31, 2024 to Mar 28, 2025
- RAUM · $4.8B to $4.8BMay 31, 2024 to Mar 28, 2025
- Related adviser · false to trueMay 31, 2024 to Mar 28, 2025
- Accounts · 3 to 4Feb 22, 2024 to Mar 26, 2024
- Advisory employees · 16 to 17Feb 22, 2024 to Mar 26, 2024
- Pooled vehicle clients · 2 to 3Feb 22, 2024 to Mar 26, 2024
- Assets in custody · $1.7B to $1.8BFeb 22, 2024 to Mar 26, 2024
- Employees · 16 to 17Feb 22, 2024 to Mar 26, 2024
- Discretionary RAUM · $4.7B to $4.8BFeb 22, 2024 to Mar 26, 2024
- Pooled vehicle RAUM · $4.7B to $4.8BFeb 22, 2024 to Mar 26, 2024
- RAUM · $4.7B to $4.8BFeb 22, 2024 to Mar 26, 2024
- Private funds · 1 to 2Mar 29, 2023 to Feb 22, 2024
- Related bank · true to falseMar 29, 2023 to Feb 22, 2024
- Advisory employees · 14 to 16Jan 10, 2023 to Mar 29, 2023
- Charity clients · 0.0 to unsetJan 10, 2023 to Mar 29, 2023
- Corporate clients · 0.0 to unsetJan 10, 2023 to Mar 29, 2023
- HNW clients · 0.0 to unsetJan 10, 2023 to Mar 29, 2023
- Individual clients · 0.0 to unsetJan 10, 2023 to Mar 29, 2023
- Pension plan clients · 0.0 to unsetJan 10, 2023 to Mar 29, 2023
- Pooled vehicle clients · 3 to 2Jan 10, 2023 to Mar 29, 2023
- Assets in custody · $1.5B to $1.7BJan 10, 2023 to Mar 29, 2023
- Employees · 14 to 16Jan 10, 2023 to Mar 29, 2023
- Discretionary RAUM · $3.9B to $4.7BJan 10, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $3.9B to $4.7BJan 10, 2023 to Mar 29, 2023
- RAUM · $3.9B to $4.7BJan 10, 2023 to Mar 29, 2023
- Accounts · 5 to 3Mar 30, 2021 to Mar 29, 2022
- Advisory employees · 15 to 14Mar 30, 2021 to Mar 29, 2022
- Assets in custody · $1.9B to $1.5BMar 30, 2021 to Mar 29, 2022
- Employees · 15 to 14Mar 30, 2021 to Mar 29, 2022
Signals
12 dated events
- James Christopher Bathon (Senior Partner & Portfolio Manager) appeared on Schedule A of W••••••••• A•••• M••••••••• L•Mar 26, 2024 · Control person joined · fact
- L••••••••• K••••••• P••••• (Chief Operating Officer) no longer on Schedule A of W••••••••• A•••• M••••••••• L• (listed 2023-03-29, absent 2024-02-22)Feb 22, 2024 · Control person left · inference
- Andrew Joshua Dickstein (Partner & Senior Investment Professional) appeared on Schedule A of W••••••••• A•••• M••••••••• L•Mar 29, 2023 · Control person joined · fact
- D Corey Maple (Partner & Senior Investment Professional) no longer on Schedule A of W••••••••• A•••• M••••••••• L• (listed 2022-03-29, absent 2022-11-10)Nov 10, 2022 · Control person left · inference
- D Corey Maple (Partner & Senior Investment Professional) appeared on Schedule A of W••••••••• A•••• M••••••••• L•Mar 29, 2022 · Control person joined · fact
- Townsend Brian Swiggett (Partner & Senior Investment Professional) appeared on Schedule A of W••••••••• A•••• M••••••••• L•Mar 29, 2022 · Control person joined · fact
- L••••••••• K••••••• P••••• (Chief Operating Officer) appeared on Schedule A of W••••••••• A•••• M••••••••• L•Mar 29, 2022 · Control person joined · fact
- M Paul Ferrarese (Senior Partner & Head Of Business Development) appeared on Schedule A of W••••••••• A•••• M••••••••• L•Mar 29, 2022 · Control person joined · fact
- Ford Andrew Goodwin (Senior Partner & Senior Investment Professional) appeared on Schedule A of W••••••••• A•••• M••••••••• L•Mar 29, 2022 · Control person joined · fact
- W••••••••• A•••• M••••••••• L• reported RAUM $4.1B, up 76% from $2.3B (2019-02-20 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- W••••••••• A•••• M••••••••• L• reported RAUM $2.3B, up 291% from $596.4M (2017-09-19 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- W••••••••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 2, 2015 · 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
- Firm profile
- linkedin.com/company/whitehaven-asset-management-lpreportedpublic record, Form ADV, Sep 18, 2026
- Website
- W•••••••••LP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-951-6344reportedpublic record, Form ADV, Mar 27, 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