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••••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Apr 19, 2016 · 18 filings
SEC status approved since May 18, 2016
RAUM
$1.1B
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
22
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 30, 2017$233M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20170 then
Employees (5.A)22 as of Mar 31, 2026
Mar 30, 20176 then
Private funds1 as of Mar 31, 2026
Mar 23, 20201 then
RAUM +23% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $280MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- 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
- noreported
- Compensation
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••• F•••• L••• | Hedge Fund | $1.2B | 153 | Jan 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• P••••••• L•••• · Chief Financial Officercontrolsince 12/2017 · owns less than 5%
- H•••••• J•••• B••••• · Managing Membercontrolsince 02/2007 · owns 50% to 75%
- L••••••••• Y•• D•• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- R•••• J•••••••• E• · Chief Operating Officercontrolsince 09/2023 · owns less than 5%
- H•••••• J•••• B••••• · Shareholdercontrolsince 02/2007 · owns 50% to 75% of W••••••• M••••••••• G• L••
- H•••••• J•••• B••••• · Trusteecontrolsince 05/2004 · owns F of J••• H••••• 2004 D••••••••• Trust
- H•••••• K•••• W•••••• W••••••• · Trusteecontrolsince 05/2004 · owns F of T•• J••• H••••• 2••• D••••••••• T••••
Entity owners
- W••••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- T•• J••• H••••• 2••• D••••••••• T•••• · Shareholderindirect · owns 25% to 50% of W••••••• M••••••••• G• L••
- T•• J••• H••••• 2••• D••••••••• T•••• · Limited Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- W••••••• I••••••••• L••bankpooled vehicle sponsorn
Advisers that list W••••••• M••••••••• L• as a related person
- 3994 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Employees · 21 to 22Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $912M to $1.1BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $912M to $1.1BMar 28, 2025 to Mar 31, 2026
- RAUM · $912M to $1.1BMar 28, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.2B to $912MMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.2B to $912MMar 27, 2024 to Mar 28, 2025
- RAUM · $1.2B to $912MMar 27, 2024 to Mar 28, 2025
- Advisory employees · 6 to 5Dec 11, 2023 to Mar 27, 2024
- Employees · 23 to 21Dec 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.0B to $1.2BDec 11, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.0B to $1.2BDec 11, 2023 to Mar 27, 2024
- RAUM · $1.0B to $1.2BDec 11, 2023 to Mar 27, 2024
- Employees · 25 to 23Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $1.0BMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.3B to $1.0BMar 30, 2022 to Mar 31, 2023
- RAUM · $1.3B to $1.0BMar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $1.3BMar 18, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.3B to $1.3BMar 18, 2021 to Mar 30, 2022
- RAUM · $1.3B to $1.3BMar 18, 2021 to Mar 30, 2022
- BD registered reps · 2 to 0Mar 23, 2020 to Mar 18, 2021
- Employees · 24 to 25Mar 23, 2020 to Mar 18, 2021
- Discretionary RAUM · $769M to $1.3BMar 23, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $769M to $1.3BMar 23, 2020 to Mar 18, 2021
- RAUM · $769M to $1.3BMar 23, 2020 to Mar 18, 2021
- Advisory employees · 5 to 6Jan 3, 2020 to Mar 23, 2020
- BD registered reps · 5 to 2Jan 3, 2020 to Mar 23, 2020
- Employees · 25 to 24Jan 3, 2020 to Mar 23, 2020
- Discretionary RAUM · $697M to $769MJan 3, 2020 to Mar 23, 2020
- Pooled vehicle RAUM · $697M to $769MJan 3, 2020 to Mar 23, 2020
- RAUM · $697M to $769MJan 3, 2020 to Mar 23, 2020
- Advisory employees · 4 to 5Jun 17, 2019 to Jul 29, 2019
- BD registered reps · 2 to 5Mar 29, 2019 to Jun 17, 2019
- Employees · 7 to 25Mar 29, 2019 to Jun 17, 2019
- Private funds · unset to 1Mar 29, 2019 to Jun 17, 2019
- Discretionary RAUM · $0 to $697MMar 29, 2019 to Jun 17, 2019
- Non-discretionary RAUM · $592M to $0Mar 29, 2019 to Jun 17, 2019
- Pooled vehicle RAUM · $592M to $697MMar 29, 2019 to Jun 17, 2019
- RAUM · $592M to $697MMar 29, 2019 to Jun 17, 2019
- Related adviser · true to falseMar 29, 2019 to Jun 17, 2019
Signals
9 dated events
- Dearholt Wendy Goodrich (Chief Operating Officer) no longer on Schedule A of W••••••• M••••••••• L• (listed 2023-12-11, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- E Jennifer R••• (Chief Operating Officer) appeared on Schedule A of W••••••• M••••••••• L•Mar 27, 2024 · Control person joined · fact
- Yau Dun Lee (Chief Compliance Officer) appeared on Schedule A of W••••••• M••••••••• L•Mar 30, 2022 · Control person joined · fact
- Dearholt Wendy Goodrich (Chief Operating Officer) appeared on Schedule A of W••••••• M••••••••• L•Mar 30, 2022 · Control person joined · fact
- L•••• P•••••• D••••• (Chief Financial Officer) appeared on Schedule A of W••••••• M••••••••• L•Mar 30, 2022 · Control person joined · fact
- W••••••• M••••••••• L• reported RAUM $1.3B, up 66% from $769.3M (2020-03-23 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- W••••••• M••••••••• L• reported RAUM $591.5M, up 48% from $399.0M (2018-03-31 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- W••••••• M••••••••• L• reported RAUM $399.0M, up 71% from $232.8M (2017-03-30 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
- W••••••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 19, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 312-265-5560reportedpublic record, Form ADV, Mar 31, 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