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•• I••••••••• M•••••• I•• L••
Latest filing Aug 26, 2022
First filing on the tape May 20, 2019 · 10 filings
RAUM
$294M
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
37
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$76.2M gross assets
History
10 filings and snapshots on the tape
RAUM$294M as of Mar 31, 2022
Mar 28, 2020$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20200 then
Employees (5.A)37 as of Mar 31, 2022
Mar 28, 202034 then
Private funds2 as of Mar 31, 2022
Mar 28, 20202 then
RAUM +28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 26, 2022; 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
- $73.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 74%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
- +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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $291M, 4 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- Sovereign wealth funds$217M74%
- Pooled investment vehicles$76.2M26%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $291M for 4 clientsreported
- Compensation
- % of AUM, fixed, 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• T••••••• S••••••••• M••••• F•••• L••• | Hedge Fund | $3.4M | 5 | Mar 28, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• S•••• F•••••••• · Managing Principalcontrolsince 01/2019 · owns less than 5%
- A••••••• P•••• · Principalcontrolsince 01/2019 · owns less than 5%
- F•••• H•••••• B••••••• · Principal And Head Tradercontrolsince 01/2019 · owns less than 5%
- G•••••• W••••••• G•••••• · Principalcontrolsince 01/2019 · owns less than 5%
- P•••••••• M•••• J•••••• · Principal, General Counsel And Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- R••••••• S•••••• A••• · Principal And Chief Administrative Officercontrolsince 01/2019 · owns less than 5%
- S••••••••• J•••••• S••• · Principalcontrolsince 01/2019 · owns less than 5%
Entity owners
- W••••••• C•••••• P•••••••• L• · Managing Memberdirect · owns 75% or more
- W•• G•• L•• · General Partnerindirect · owns F of W••••••• C•••••• P•••••••• L•
Related persons
Schedule D 7.A
- P•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• E•••••••• G•• L••investment adviserpooled vehicle sponsorn
- W•• F••• O•• G•• L••investment adviserbankpooled vehicle sponsory
- W•• F••• S• G•• L•investment adviserbankpooled vehicle sponsorn
- W•• H••••••••• I•••••••• S•••••••• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• I••••••••• M••••••• L••investment adviserbankpooled vehicle sponsorn
- W•• N•••••• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• N•••••• I•• G•• L••investment adviserbankpooled vehicle sponsory
- W•• N•••••• I• G•• L•investment adviserbankpooled vehicle sponsorn
- W•• R••• E••••• F••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• R••• E••••• F••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• R••• E••••• F••• I•••• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• R••• E••••• F••• I•• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• R••• E••••• F••• I••••• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• R••• E••••• F••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• R••• E••••• F••• V• G•• L•••investment adviserbankpooled vehicle sponsorn
- W•• S•••••• C••• P••• F••• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• S•••••• C••• P••• F••• I• G•• L••investment adviserbankpooled vehicle sponsorn
- W•• T••••••• G•• L••investment adviserbankpooled vehicle sponsory
- W••••••• C•••••• P••••••• I•• L•••investment adviserbankpooled vehicle sponsorn
- W••••••• C•••••• P••••••• L••investment adviserbankpooled vehicle sponsornRAUM $8.9B
Offices
Schedule D 1.F, the 25 largest
- El Segundo, CA6 employees
What changed
consecutive filings, newest first
- Private funds · 2 to 3Mar 31, 2022 to Aug 26, 2022
- Private funds · 3 to 2Aug 26, 2022 to Aug 26, 2022
- Advisory employees · 15 to 14Sep 24, 2021 to Mar 31, 2022
- Assets in custody · $57.7M to $291MSep 24, 2021 to Mar 31, 2022
- Employees · 36 to 37Sep 24, 2021 to Mar 31, 2022
- Discretionary RAUM · $230M to $294MSep 24, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $72.1M to $76.2MSep 24, 2021 to Mar 31, 2022
- RAUM · $230M to $294MSep 24, 2021 to Mar 31, 2022
- Advisory employees · 14 to 15Mar 28, 2020 to Mar 31, 2021
- Assets in custody · $197M to $57.7MMar 28, 2020 to Mar 31, 2021
- Employees · 34 to 36Mar 28, 2020 to Mar 31, 2021
- Discretionary RAUM · $60.8M to $230MMar 28, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $136M to $0Mar 28, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $60.8M to $72.1MMar 28, 2020 to Mar 31, 2021
- RAUM · $197M to $230MMar 28, 2020 to Mar 31, 2021
- Accounts · 2 to 4Jan 9, 2020 to Mar 28, 2020
- Advisory employees · 15 to 14Jan 9, 2020 to Mar 28, 2020
- Pooled vehicle clients · 1 to 3Jan 9, 2020 to Mar 28, 2020
- Assets in custody · $144M to $197MJan 9, 2020 to Mar 28, 2020
- HQ city · WILTON to STAMFORDJan 9, 2020 to Mar 28, 2020
- Private funds · 1 to 2Jan 9, 2020 to Mar 28, 2020
- Discretionary RAUM · $61.2M to $60.8MJan 9, 2020 to Mar 28, 2020
- Non-discretionary RAUM · $82.5M to $136MJan 9, 2020 to Mar 28, 2020
- Pooled vehicle RAUM · $61.2M to $60.8MJan 9, 2020 to Mar 28, 2020
- RAUM · $144M to $197MJan 9, 2020 to Mar 28, 2020
- Advisory employees · 16 to 15Nov 21, 2019 to Jan 9, 2020
- Employees · 36 to 34Nov 21, 2019 to Jan 9, 2020
- Other offices · 2 to 1Nov 21, 2019 to Jan 9, 2020
- Accounts · unset to 2.0May 20, 2019 to Nov 21, 2019
- Pooled vehicle clients · 0 to 1May 20, 2019 to Nov 21, 2019
- Assets in custody · unset to 143762873.0May 20, 2019 to Nov 21, 2019
- Custody of client assets · false to trueMay 20, 2019 to Nov 21, 2019
- Employees · 37 to 36May 20, 2019 to Nov 21, 2019
- Private funds · unset to 1May 20, 2019 to Nov 21, 2019
- Discretionary RAUM · unset to 61224021.0May 20, 2019 to Nov 21, 2019
- Non-discretionary RAUM · unset to 82538852.0May 20, 2019 to Nov 21, 2019
- Pooled vehicle RAUM · $0 to $61.2MMay 20, 2019 to Nov 21, 2019
- RAUM · unset to 143762873.0May 20, 2019 to Nov 21, 2019
Signals
3 dated events
- Samuel Russel Bernard (Managing Principal) no longer on Schedule A of W•• I••••••••• M•••••• I•• L•• (listed 2019-11-21, absent 2020-01-09)Jan 9, 2020 · Control person left · inference
- Ira Bruce Nuzie (Principal) no longer on Schedule A of W•• I••••••••• M•••••• I•• L•• (listed 2019-05-20, absent 2019-11-21)Nov 21, 2019 · Control person left · inference
- W•• I••••••••• M•••••• I•• L•• filed its initial SEC registration (Form ADV)May 20, 2019 · 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