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

G••• W••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 288711SEC 801-112473IAPD
Latest filing Mar 27, 2024
First filing on the tape Jan 18, 2018 · 14 filings
RAUM
$243,447
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$243,447 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$243,447 as of Mar 27, 2024
Mar 29, 2019$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 29, 20190 then
Employees (5.A)7 as of Mar 27, 2024
Mar 29, 201910 then
Private funds: no history
RAUM +11% over the last fiscal year-27% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
RAUM per advisor
$243,447derivedRAUM 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
$81,149derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$243,447100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••• J•••••••• A••• · Ceocontrol
    since 09/2017 · owns less than 5%
  • K••••• J•••••••• A••• · Shareholdercontrol
    since 09/2017 · owns 25% to 50% of K•• O•• H•••••••• L••
  • A••••••• D••••• I•••• · Managing Director And General Counsel
    since 03/2021 · owns less than 5%
  • G•••••• O••••• · Chief Compliance Officer / Head Of Compliance
    since 03/2019 · owns less than 5%
  • L•• K••••• · Chief Financial Officer
    since 09/2019 · owns less than 5%
  • S•••••• J•••••••• A• · Chief Operating Officer
    since 09/2017 · owns less than 5%
Entity owners
  • K•••• F•••• A•••••••• L•• · Owner
    direct · owns 75% or more
  • C•••••• H••••• I••••••••• L•••••• · Owner
    indirect · owns 25% to 50% of C•••• I••••••••• C•••••• C••••••••• L••••••
  • C•••• I••••••••• C•••••• C••••••••• ••••••••• L•••••• · Owner
    indirect · owns 75% or more of C•••• I••••••••• C•••••• C••••••••• •••• H•••••••• I•••
  • C•••• I••••••••• C•••••• C••••••••• •••• H•••••••• I••• · Owner
    indirect · owns 50% to 75% of K•••• F•••• A•••••••• L••
  • C•••• I••••••••• C•••••• C••••••••• L•••••• · Owner
    indirect · owns 75% or more of C•••• I••••••••• C•••••• C••••••••• ••••••••• L••••••
  • C•••• I••••••••• C••••••••• · Owner
    indirect · owns 75% or more of C•••••• H••••• I••••••••• L••••••
  • K•• O•• H•••••••• L•• · Owner
    indirect · owns 25% to 50% of K•••• F•••• A•••••••• L••
  • H•••• N••••••• L•••••• · 39.42% Ownershipcollectively Owned Bypublic Shareholders
    indirect · owns 25% to 50% of C•••• I••••••••• C•••••• C••••••••• L••••••
Related persons
Schedule D 7.A
Advisers that list G••• W••••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
New York, Ny · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 2 to 3
    Mar 31, 2023 to Mar 27, 2024
  • Employees · 9 to 7
    Mar 31, 2023 to Mar 27, 2024
  • Discretionary RAUM · $219,121 to $243,447
    Mar 31, 2023 to Mar 27, 2024
  • Individual RAUM · $219,121 to $243,447
    Mar 31, 2023 to Mar 27, 2024
  • RAUM · $219,121 to $243,447
    Mar 31, 2023 to Mar 27, 2024
  • Employees · 14 to 9
    Mar 31, 2022 to Mar 31, 2023
  • Discretionary RAUM · $475,856 to $219,121
    Mar 31, 2022 to Mar 31, 2023
  • Individual RAUM · $475,856 to $219,121
    Mar 31, 2022 to Mar 31, 2023
  • RAUM · $475,856 to $219,121
    Mar 31, 2022 to Mar 31, 2023
  • Business name · C••• W••••• M••••••••• ••••• L•• to G••• W••••• M••••••••• L••
    Sep 1, 2021 to Mar 31, 2022
  • State-registered IARs · 0 to 1
    Sep 1, 2021 to Mar 31, 2022
  • Legal name · C••• W••••• M••••••••• ••••• L•• to G••• W••••• M••••••••• L••
    Sep 1, 2021 to Mar 31, 2022
  • Discretionary RAUM · $632,340 to $475,856
    Sep 1, 2021 to Mar 31, 2022
  • Individual RAUM · $632,340 to $475,856
    Sep 1, 2021 to Mar 31, 2022
  • RAUM · $632,340 to $475,856
    Sep 1, 2021 to Mar 31, 2022
  • Accounts · 1 to 2
    Jun 30, 2020 to Mar 31, 2021
  • Employees · 11 to 14
    Jun 30, 2020 to Mar 31, 2021
  • Discretionary RAUM · $135,044 to $632,340
    Jun 30, 2020 to Mar 31, 2021
  • Individual RAUM · $135,044 to $632,340
    Jun 30, 2020 to Mar 31, 2021
  • RAUM · $135,044 to $632,340
    Jun 30, 2020 to Mar 31, 2021
  • Accounts · 0 to 1
    Oct 4, 2019 to Mar 30, 2020
  • Advisory employees · 2 to 3
    Oct 4, 2019 to Mar 30, 2020
  • BD registered reps · 1 to 0
    Oct 4, 2019 to Mar 30, 2020
  • Charity clients · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • Corporate clients · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • HNW clients · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • Individual clients · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • Pension plan clients · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • Pooled vehicle clients · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • Employees · 10 to 11
    Oct 4, 2019 to Mar 30, 2020
  • Financial planning clients · 0 to 1-10
    Oct 4, 2019 to Mar 30, 2020
  • Discretionary RAUM · $0 to $135,044
    Oct 4, 2019 to Mar 30, 2020
  • HNW RAUM · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • Individual RAUM · $0 to $135,044
    Oct 4, 2019 to Mar 30, 2020
  • Pension RAUM · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • Pooled vehicle RAUM · 0.0 to unset
    Oct 4, 2019 to Mar 30, 2020
  • RAUM · $0 to $135,044
    Oct 4, 2019 to Mar 30, 2020
  • Related bank · false to true
    Oct 4, 2019 to Mar 30, 2020
  • Accounts · unset to 0.0
    Jan 8, 2019 to Mar 29, 2019
  • Advisory employees · 1 to 2
    Jan 8, 2019 to Mar 29, 2019
Signals
3 dated events
  • R•••••• D••• left G••• W••••• M••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-08-09)
    Jul 22, 2024 · Advisor changed firm · fact
  • Max Lindenfeld (Cco) no longer on Schedule A of G••• W••••• M••••••••• L•• (listed 2019-01-08, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • I••••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 18, 2018 · 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