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•••••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 29, 2018 · 8 filings
SEC status approved since Apr 28, 2023
RAUM
$82.4M
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
30
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$82.4M as of Mar 30, 2026
Mar 25, 2019$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 25, 20190 then
Employees (5.A)30 as of Mar 30, 2026
Mar 25, 201933 then
Private funds3 as of Mar 30, 2026
Mar 25, 20192 then
RAUM -53% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $41.2MderivedRAUM 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
- -53%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$82.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• 4••••• L••••• L• | Real Estate Fund | $135M | 20 | Mar 30, 2023 |
| W• 1••• P•••••••• L•no longer reported | Real Estate Fund | $79.5M | 6 | Mar 29, 2018 |
| 6•• M•••••• S••• L••••• L•• | Real Estate Fund | $48.1M | 4 | Mar 30, 2022 |
| W• A• O•••• W••• L••••• 2• L•••no longer reported | Real Estate Fund | $38.7M | 12 | Jun 29, 2018 |
| W••••••• S•••••••• R••• E••••• F••• L• | Private Equity Fund | $32.4M | 31 | Mar 30, 2022 |
| W• A• O•••• W••• L•••••• L•no longer reported | Real Estate Fund | $31.1M | 11 | Mar 29, 2018 |
| W•••• D•••••• B••••••• L••••• L• | Real Estate Fund | $21.5M | 21 | Mar 30, 2022 |
| W• 4••• H•••••••• L•••••• L•no longer reported | Real Estate Fund | $15.4M | 6 | Mar 29, 2018 |
| W••••••••• C••••••••• F••• L•••no longer reported | Private Equity Fund | $8.1M | 17 | Aug 10, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• M••••••• L•• · Chief Executive Officercontrolsince 02/2017 · owns less than 5%
- G••••••• J••• · President And Chief Compliance Officercontrolsince 02/2017 · owns less than 5%
- M•••••••• E••• · Chief Financial Officercontrolsince 06/2017 · owns less than 5%
- A•••••• M••••••• L•• · Member And Managing Membercontrolsince 02/2017 · owns 75% or more of W•••••• L••
Entity owners
- W•••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- W• R••• E••••• D••• F••• G• L••pooled vehicle sponsorn
- W••••••• S•••••••• R••• E••••• F••• G• L••pooled vehicle sponsorn
- W•••• 4••••• L••••• G• L••pooled vehicle sponsorn
- W•••• D•••••• B••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Jericho, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 3 to 2Mar 31, 2025 to Mar 30, 2026
- Private funds · 4 to 3Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $174M to $82.4MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $174M to $82.4MMar 31, 2025 to Mar 30, 2026
- RAUM · $174M to $82.4MMar 31, 2025 to Mar 30, 2026
- Accounts · 4 to 3Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 3Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $199M to $174MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $199M to $174MMar 28, 2024 to Mar 31, 2025
- RAUM · $199M to $174MMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $199M to $199MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $199M to $199MMar 31, 2023 to Mar 28, 2024
- RAUM · $199M to $199MMar 31, 2023 to Mar 28, 2024
- Private funds · 8 to 4Mar 30, 2023 to Mar 31, 2023
- Accounts · 2 to 4Mar 27, 2020 to Mar 30, 2023
- Pooled vehicle clients · 2 to 4Mar 27, 2020 to Mar 30, 2023
- Employees · 26 to 30Mar 27, 2020 to Mar 30, 2023
- Private funds · 2 to 8Mar 27, 2020 to Mar 30, 2023
- Discretionary RAUM · $194M to $199MMar 27, 2020 to Mar 30, 2023
- Pooled vehicle RAUM · $194M to $199MMar 27, 2020 to Mar 30, 2023
- RAUM · $194M to $199MMar 27, 2020 to Mar 30, 2023
- Employees · 33 to 26Mar 25, 2019 to Mar 27, 2020
- Accounts · 4 to 2Jun 29, 2018 to Mar 25, 2019
- Pooled vehicle clients · 4 to 2Jun 29, 2018 to Mar 25, 2019
- Private funds · 8 to 2Jun 29, 2018 to Mar 25, 2019
- Discretionary RAUM · $283M to $194MJun 29, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $283M to $194MJun 29, 2018 to Mar 25, 2019
- RAUM · $283M to $194MJun 29, 2018 to Mar 25, 2019
Signals
2 dated events
- W••••••• C•••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $82.4M)Jun 1, 2026 · Left the SEC roster · derived
- W••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W••••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
- W••••••• C•••••• A•••••••• L•• · Venture Capitalshared crd · organization
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••••••• C•••••• A•••••••• 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.
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