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
A••••• W••••••• C•••••• P••• L•••
Latest filing Aug 14, 2026
First filing on the tape Jan 2, 2024 · 6 filings
SEC status approved since Mar 8, 2024
RAUM
$5.4B
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
23
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$5.4B as of Aug 14, 2026
Jun 28, 2024$4.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 14, 2026
Jun 28, 20240 then
Employees (5.A)23 as of Aug 14, 2026
Jun 28, 202422 then
Private funds8 as of Aug 14, 2026
Jun 28, 20247 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 14, 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
- $414MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%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
- unknownderivedbetween 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 vehicles, portfolio management for investment companiesreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.6B68%
- Sovereign wealth funds$1.5B28%
- Investment companies$108M2.0%
- Corporations and businesses$73.3M1.4%
- Insurance companies$61.7M1.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.7 institutional_share=0.29 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• W••••••• I•••• O••••••••• F••• | Hedge Fund | $2.0B | 197 | Oct 28, 2019 |
| W•••• O•• I•••• E••••• F••• I•no longer reported | Hedge Fund | $782M | 91 | Jun 16, 2021 |
| I•••• A•••• F••• L•• | Hedge Fund | $238M | 32 | Nov 20, 2017 |
| A••••• W••••••• E••••••• M•••••• E••••• F••• | Hedge Fund | $59.6M | 8 | Nov 24, 2022 |
| A••••• W••••••• I•••• E•• F••• | Hedge Fund | $19.1M | 2 | Jun 16, 2022 |
| I•••• A•••• F••• ••••••••• L•• | Hedge Fund | $15.1M | 3 | Nov 20, 2017 |
| I•••• A•••• F••• I• ••••••• L•• | Hedge Fund | $5.3M | 1 | Jun 11, 2020 |
| I•••• A•••• F••• ••••••• L••• | Hedge Fund | $1.2M | 29 | Nov 20, 2017 |
Owners and control persons
Schedule A and B, latest filing
- G•••• M•••• · Directorcontrolsince 03/2020 · owns less than 5%
- G••••••••• P••••••• U•••• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- V•••• S••••• · Chief Executive Officercontrolsince 03/2018 · owns less than 5%
- K•••••• P••••••• · Shareholdercontrolsince 03/2020 · owns 75% or more of B•••••• I••••••••• P••• L•••
Entity owners
- R••• H••••••• P••• L••• · Shareholderdirect · owns 75% or more
- B•••••• I••••••••• P••• L••• · Trusteeindirect · owns F of T•• R••• F••••• T••••
- R••• H••••••• P••• L••• · Shareholderindirect · owns 75% or more of K•• I••••••••• P•• L••
- T•• R••• F••••• T•••• · Shareholderindirect · owns 75% or more of R••• H••••••• P••• L•••
- K•• I••••••••• P•• L•• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A•••• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsory
- A••••• W••••••• C•••••• M••••••••• ••••• L••investment advisern
- W•••• O•• C•••••• M••••••••• C••••••••• L••investment adviserbankpooled vehicle sponsorn
- W••••••• C•••••• A•••• M••••••••• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle clients · 5 to 6Jun 27, 2025 to Jun 29, 2026
- Private funds · 7 to 8Jun 27, 2025 to Jun 29, 2026
- Discretionary RAUM · $5.4B to $5.4BJun 27, 2025 to Jun 29, 2026
- Pension RAUM · 354117922.0 to unsetJun 27, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $3.0B to $3.6BJun 27, 2025 to Jun 29, 2026
- RAUM · $5.4B to $5.4BJun 27, 2025 to Jun 29, 2026
- Accounts · 10 to 13May 15, 2025 to Jun 27, 2025
- Advisory employees · 12 to 13May 15, 2025 to Jun 27, 2025
- Advisory activities · 1 to 2May 15, 2025 to Jun 27, 2025
- Employees · 22 to 23May 15, 2025 to Jun 27, 2025
- Financial planning clients · 0 to 0May 15, 2025 to Jun 27, 2025
- Discretionary RAUM · $4.3B to $5.4BMay 15, 2025 to Jun 27, 2025
- Pension RAUM · $310M to $354MMay 15, 2025 to Jun 27, 2025
- Pooled vehicle RAUM · $2.4B to $3.0BMay 15, 2025 to Jun 27, 2025
- RAUM · $4.3B to $5.4BMay 15, 2025 to Jun 27, 2025
- Business name · W•••• O•• C•••••• P••••••• P••• L••• to A••••• W••••••• C•••••• P••• L•••Jun 28, 2024 to May 15, 2025
- HQ state · unset to Jun 28, 2024 to May 15, 2025
- Legal name · W•••• O•• C•••••• P••••••• P••• L••• to A••••• W••••••• C•••••• P••• L•••Jun 28, 2024 to May 15, 2025
- Accounts · 9 to 10Jan 2, 2024 to Jun 28, 2024
- Employees · 21 to 22Jan 2, 2024 to Jun 28, 2024
- State-registered IARs · 12 to 0Jan 2, 2024 to Jun 28, 2024
- Private funds · 14 to 7Jan 2, 2024 to Jun 28, 2024
- Discretionary RAUM · $3.6B to $4.3BJan 2, 2024 to Jun 28, 2024
- Pension RAUM · $269M to $310MJan 2, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · $1.8B to $2.4BJan 2, 2024 to Jun 28, 2024
- RAUM · $3.6B to $4.3BJan 2, 2024 to Jun 28, 2024
Signals
3 dated events
- A••••• W••••••• C•••••• P••• L••• reported RAUM $5.4B, up 27% from $4.3B (2025-05-15 to 2025-06-27)Jun 27, 2025 · RAUM change · derived
- A••••• W••••••• C•••••• P••• L••• reported 0 state-registered advisory representatives, down from 12 (2024-01-02 to 2024-06-28)Jun 28, 2024 · Advisor headcount change · derived
- W•••• O•• C•••••• P••••••• P••• L••• filed its initial SEC registration (Form ADV)Jan 2, 2024 · 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
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +6569777473reportedpublic record, Form ADV, Aug 14, 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