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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
W••••• R••• C•••••• P••••••• L••
Latest filing Apr 25, 2019
First filing on the tape Mar 23, 2016 · 8 filings
RAUM
$77.2M
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
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$9.3M gross assets
History
8 filings and snapshots on the tape
RAUM$77.2M as of Mar 20, 2019
Jan 30, 2017$179M then
HNW client RAUM$0 as of Mar 20, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2019
Jan 30, 20170 then
Employees (5.A)12 as of Mar 20, 2019
Jan 30, 201725 then
Private funds1 as of Mar 20, 2019
Jan 30, 20171 then
RAUM -58% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 25, 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
- $5.5MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -58%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)
- 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$77.2M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••• R••• R••••••••• R••••••• F•••• L••• | Real Estate Fund | $9.3M | 18 | Mar 23, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• P••••••• R••••• · Managing Member, Chief Executive Officer And Chief Investment Officercontrolsince 02/2013 · owns less than 5%
- P••••••••• J••••••• L•••• · Managing Member, Head Of Investor Relations And Business Developmentcontrolsince 08/2014 · owns less than 5%
- C•••••• P••••••• R••••• · Membercontrolsince 02/2013 · owns 75% or more of K••••••••• L••
- P••••••••• J••••••• L•••• · Shareholdercontrolsince 08/2014 · owns 75% or more of S••••• P•••••••• I•••
- G••••••••• B•••••• R•••• · Chief Compliance Officer, Controllersince 04/2019 · owns less than 5%
Entity owners
- C•••••• R••• H•••••••• L•• · Memberdirect · owns 75% or more
- K••••••••• L•• · Memberindirect · owns 75% or more of C•••••• R••• H•••••••• L••
- S••••• P•••••••• I••• · Memberindirect · owns F of C•••••• R••• H•••••••• L••
Related persons
Schedule D 7.A
- J•• M•••••• L••investment advisern
- R••• M•••••• L••investment advisern
- W••••• R••• C•••••• P•••••• G•• L••pooled vehicle sponsorn
- W••••• R••• M••••••• L••investment adviserpooled vehicle sponsory
- W••••• R••• M••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 13 to 14Mar 29, 2018 to Mar 20, 2019
- Pooled vehicle clients · 13 to 14Mar 29, 2018 to Mar 20, 2019
- Employees · 19 to 12Mar 29, 2018 to Mar 20, 2019
- Discretionary RAUM · $183M to $77.2MMar 29, 2018 to Mar 20, 2019
- Pooled vehicle RAUM · $183M to $77.2MMar 29, 2018 to Mar 20, 2019
- RAUM · $183M to $77.2MMar 29, 2018 to Mar 20, 2019
- Advisory employees · 3 to 4Jun 20, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 13.0Jun 20, 2017 to Mar 29, 2018
- Employees · 25 to 19Jun 20, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Jun 20, 2017 to Mar 29, 2018
- Discretionary RAUM · $179M to $183MJun 20, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Jun 20, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 182508177.0Jun 20, 2017 to Mar 29, 2018
- RAUM · $179M to $183MJun 20, 2017 to Mar 29, 2018
- Advisory employees · 6 to 3May 26, 2016 to Jan 30, 2017
- Employees · 27 to 25May 26, 2016 to Jan 30, 2017
- Discretionary RAUM · $129M to $179MMay 26, 2016 to Jan 30, 2017
- RAUM · $129M to $179MMay 26, 2016 to Jan 30, 2017
Signals
4 dated events
- Louis Michael Schoppet (Chief Compliance Officer, Director Of Finance And Fund Reporting) no longer on Schedule A of W••••• R••• C•••••• P••••••• L•• (listed 2019-03-20, absent 2019-04-25)Apr 25, 2019 · Control person left · inference
- W••••• R••• C•••••• P••••••• L•• reported RAUM $77.2M, down 58% from $182.5M (2018-03-29 to 2019-03-20)Mar 20, 2019 · RAUM change · derived
- S Ketan Parekh (Managing Director) no longer on Schedule A of W••••• R••• C•••••• P••••••• L•• (listed 2018-03-29, absent 2019-03-20)Mar 20, 2019 · Control person left · inference
- W••••• R••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Mar 23, 2016 · 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
Across the graphs
W••••• R••• C•••••• P••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…