DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

W•••••••• F•••• M•••••••••

Former SEC-registered adviserSydney, New South Wales, CRD 288877SEC 801-111909IAPD
Legal name W•••••••• F•••• M••••••••• P••••••••• L••••••
Latest filing Sep 30, 2019
First filing on the tape Sep 22, 2017 · 5 filings
RAUM
$330M
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$330M as of Sep 30, 2019
Jul 10, 2018$593M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 30, 2019
Jul 10, 20180 then
Employees (5.A)10 as of Sep 30, 2019
Jul 10, 201810 then
Private funds1 as of Mar 31, 2019
Jul 10, 20181 then
RAUM -28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 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
$66.0MderivedRAUM 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
-28%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 businesses and institutions, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$330M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••••••• A•••• M••••• F•••Hedge Fund$00Sep 22, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• T••••••• J•••• · Chief Operating Officer; Chief Compliance Officercontrol
        since 01/2014 · owns less than 5%
      • B••••••••• J•••••• B••• · Director; Chief Investment Officercontrol
        since 12/2003 · owns less than 5%
      • B••••••••• J•••••• B••• · Sole Shareholdercontrol
        since 12/2003 · owns 75% or more of F•••• C••••••• P•• L••
      Entity owners
      • F•••• C••••••• P•• L•• · Sole Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 5
        Apr 4, 2019 to Sep 30, 2019
      • Pooled vehicle clients · 8 to 5
        Apr 4, 2019 to Sep 30, 2019
      • Private funds · 1 to unset
        Apr 4, 2019 to Sep 30, 2019
      • Discretionary RAUM · $459M to $330M
        Apr 4, 2019 to Sep 30, 2019
      • Pooled vehicle RAUM · $459M to $330M
        Apr 4, 2019 to Sep 30, 2019
      • RAUM · $459M to $330M
        Apr 4, 2019 to Sep 30, 2019
      • Advisory employees · 7 to 5
        Jul 10, 2018 to Mar 31, 2019
      • Discretionary RAUM · $593M to $459M
        Jul 10, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $593M to $459M
        Jul 10, 2018 to Mar 31, 2019
      • RAUM · $593M to $459M
        Jul 10, 2018 to Mar 31, 2019
      • Accounts · 6 to 8
        Sep 22, 2017 to Jul 10, 2018
      • Advisory employees · 8 to 7
        Sep 22, 2017 to Jul 10, 2018
      • Pooled vehicle clients · unset to 8.0
        Sep 22, 2017 to Jul 10, 2018
      • Employees · 12 to 10
        Sep 22, 2017 to Jul 10, 2018
      • Other offices · unset to 0.0
        Sep 22, 2017 to Jul 10, 2018
      • Discretionary RAUM · $603M to $593M
        Sep 22, 2017 to Jul 10, 2018
      • Pooled vehicle RAUM · unset to 593000000.0
        Sep 22, 2017 to Jul 10, 2018
      • RAUM · $603M to $593M
        Sep 22, 2017 to Jul 10, 2018
      Signals
      2 dated events
      • W•••••••• F•••• M••••••••• reported RAUM $330.1M, down 28% from $459.0M (2019-04-04 to 2019-09-30)
        Sep 30, 2019 · RAUM change · derived
      • W•••••••• F•••• M••••••••• filed its initial SEC registration (Form ADV)
        Sep 22, 2017 · ria f•••• adv filing · 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