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••••• C•••••• U• L••

Former SEC-registered adviserNew York, New YorkCRD 171924SEC 801-80294IAPD
Latest filing Mar 30, 2022
First filing on the tape Aug 28, 2014 · 25 filings
RAUM
$53.6M
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
12
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$53.6M as of Mar 30, 2022
Mar 31, 2015$37.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 31, 20150 then
Employees (5.A)12 as of Mar 30, 2022
Mar 31, 201520 then
Private funds: no history
RAUM -8.2% over the last fiscal year+7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
$53.6MderivedRAUM 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
-8.2%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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$53.6M100%
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
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• D••••• W••••• · Elected Managercontrol
        since 02/2014 · owns less than 5%
      • R••••••• A••• B••••• A•• · Elected Managercontrol
        since 03/2014 · owns less than 5%
      • W••••••• A•••• P•••• · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      • H••••••• D••••• W••••• · Ceo, Founder And Chairmancontrol
        since 01/2014 · owns 50% to 75% of W••••• G•••• L••••••
      Entity owners
      • W••••• G•••• L•••••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • W••••• C•••••• ••••••• L••
        pooled vehicle sponsorn
      • W••••• C•••••• A••• L••
        investment advisern
      • W••••• C•••••• A•••••••• P•• L••
        investment advisern
      • W••••• C•••••• M••••••••• L•••
        investment adviserbanknRAUM $12B
      • W••••• F••• M••••••••• I•••••• D••
        investment advisern
      • W••••• G• S••••••• ••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 4 to 2
        Mar 30, 2021 to Mar 30, 2022
      • Employees · 14 to 12
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $58.4M to $53.6M
        Mar 30, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $58.4M to $53.6M
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $58.4M to $53.6M
        Mar 30, 2021 to Mar 30, 2022
      • BD registered reps · 0 to 4
        Dec 11, 2020 to Mar 30, 2021
      • Employees · 21 to 14
        Dec 11, 2020 to Mar 30, 2021
      • Discretionary RAUM · $58.1M to $58.4M
        Dec 11, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $58.1M to $58.4M
        Dec 11, 2020 to Mar 30, 2021
      • RAUM · $58.1M to $58.4M
        Dec 11, 2020 to Mar 30, 2021
      • Pooled vehicle clients · unset to 1.0
        Jun 2, 2020 to Dec 11, 2020
      • HQ city · LONDON to NEW YORK
        Jun 2, 2020 to Dec 11, 2020
      • HQ state · unset to NY
        Jun 2, 2020 to Dec 11, 2020
      • Discretionary RAUM · $57.2M to $58.1M
        Jun 2, 2020 to Dec 11, 2020
      • Pooled vehicle RAUM · unset to 58062116.0
        Jun 2, 2020 to Dec 11, 2020
      • RAUM · $57.2M to $58.1M
        Jun 2, 2020 to Dec 11, 2020
      • HQ city · NEW YORK to LONDON
        Mar 27, 2020 to Apr 14, 2020
      • HQ state · NY to unset
        Mar 27, 2020 to Apr 14, 2020
      • Advisory employees · 10 to 7
        Aug 7, 2019 to Mar 27, 2020
      • Employees · 33 to 21
        Aug 7, 2019 to Mar 27, 2020
      • Other offices · 1 to 0
        Aug 7, 2019 to Mar 27, 2020
      • Discretionary RAUM · $43.6M to $57.2M
        Aug 7, 2019 to Mar 27, 2020
      • RAUM · $43.6M to $57.2M
        Aug 7, 2019 to Mar 27, 2020
      • Accounts · 2 to 1
        Nov 5, 2018 to Mar 28, 2019
      • Advisory employees · 22 to 10
        Nov 5, 2018 to Mar 28, 2019
      • Advisory activities · 2 to 1
        Nov 5, 2018 to Mar 28, 2019
      • BD registered reps · 12 to 0
        Nov 5, 2018 to Mar 28, 2019
      • Employees · 42 to 33
        Nov 5, 2018 to Mar 28, 2019
      • Discretionary RAUM · $72.1M to $43.6M
        Nov 5, 2018 to Mar 28, 2019
      • RAUM · $72.1M to $43.6M
        Nov 5, 2018 to Mar 28, 2019
      • Advisory employees · 26 to 22
        Oct 27, 2017 to Mar 27, 2018
      • Advisory activities · 1 to 2
        Oct 27, 2017 to Mar 27, 2018
      • BD registered reps · 16 to 12
        Oct 27, 2017 to Mar 27, 2018
      • Employees · 48 to 42
        Oct 27, 2017 to Mar 27, 2018
      • Discretionary RAUM · $51.4M to $72.1M
        Oct 27, 2017 to Mar 27, 2018
      • RAUM · $51.4M to $72.1M
        Oct 27, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Sep 20, 2017 to Oct 27, 2017
      • Accounts · 3 to 2
        Jan 5, 2017 to Mar 30, 2017
      • Advisory employees · 33 to 26
        Jan 5, 2017 to Mar 30, 2017
      • BD registered reps · 17 to 16
        Jan 5, 2017 to Mar 30, 2017
      Signals
      1 dated events
      • W••••• C•••••• U• L•• filed its initial SEC registration (Form ADV)
        Aug 28, 2014 · 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