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Former SEC-registered adviser

W•••• R••••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 305497SEC 801-117532IAPD
Latest filing Mar 31, 2021
First filing on the tape Sep 24, 2019 · 5 filings
RAUM
$55.8M
reported, Item 5.F
Discretionary
0.0%
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
98
98 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$55.8M as of Mar 31, 2021
May 15, 2020$29.5M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 31, 2021
May 15, 20200 then
Employees (5.A)98 as of Mar 31, 2021
May 15, 20208 then
Private funds: no history
RAUM +89% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2021; 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
$55.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+89%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$55.8M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• R•••••• D•••• · Chief Operating Officercontrol
        since 08/2019 · owns less than 5%
      • F•••• M••••••••• E••••• · Presidentcontrol
        since 08/2019 · owns less than 5%
      • G•••• T•••••• P••• · Chief Financial Officercontrol
        since 08/2019 · owns less than 5%
      • W••••• E•••••• M••• · Managing Membercontrol
        since 08/2019 · owns less than 5%
      • W••••• E•••••• M••• · Managing Membercontrol
        since 08/2009 · owns 75% or more of W•••• H•••••• L••
      • P•••••••• S•••••• M•••• · Chief Compliance Officer
        since 08/2019 · owns less than 5%
      Entity owners
      • W•••• H•••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list W•••• R••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Stamford, CT3 employees
      What changed
      consecutive filings, newest first
      • Pension plan clients · 22.0 to unset
        Jul 24, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 509 to 1
        Jul 24, 2020 to Mar 31, 2021
      • Other offices · 2 to 1
        Jul 24, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $29.5M to $55.8M
        Jul 24, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $29.5M to $55.8M
        Jul 24, 2020 to Mar 31, 2021
      • RAUM · $29.5M to $55.8M
        Jul 24, 2020 to Mar 31, 2021
      • Advisory employees · 7 to 98
        May 15, 2020 to Jul 24, 2020
      • BD registered reps · 8 to 97
        May 15, 2020 to Jul 24, 2020
      • HNW clients · unset to 0.0
        May 15, 2020 to Jul 24, 2020
      • Individual clients · unset to 0.0
        May 15, 2020 to Jul 24, 2020
      • Pension plan clients · unset to 22.0
        May 15, 2020 to Jul 24, 2020
      • Pooled vehicle clients · 1 to 509
        May 15, 2020 to Jul 24, 2020
      • Employees · 8 to 98
        May 15, 2020 to Jul 24, 2020
      • Other offices · 0 to 2
        May 15, 2020 to Jul 24, 2020
      • HNW RAUM · unset to 0.0
        May 15, 2020 to Jul 24, 2020
      • Individual RAUM · unset to 0.0
        May 15, 2020 to Jul 24, 2020
      • Pension RAUM · unset to 0.0
        May 15, 2020 to Jul 24, 2020
      • Accounts · 4 to 1
        Sep 27, 2019 to May 15, 2020
      • Advisory activities · 1 to 2
        Sep 27, 2019 to May 15, 2020
      • Pooled vehicle clients · unset to 1.0
        Sep 27, 2019 to May 15, 2020
      • Commission compensation · true to false
        Sep 27, 2019 to May 15, 2020
      • Non-discretionary RAUM · $200M to $29.5M
        Sep 27, 2019 to May 15, 2020
      • Pooled vehicle RAUM · unset to 29500000.0
        Sep 27, 2019 to May 15, 2020
      • RAUM · $200M to $29.5M
        Sep 27, 2019 to May 15, 2020
      Signals
      5 dated events
      • David Robert Farley (Chief Operating Officer) appeared on Schedule A of W•••• R••••••• A•••••••• L••
        Jul 24, 2020 · Control person joined · fact
      • Paul Thomas Gang (Chief Financial Officer) appeared on Schedule A of W•••• R••••••• A•••••••• L••
        Jul 24, 2020 · Control person joined · fact
      • Elliot Mackenzie Fulk (President) appeared on Schedule A of W•••• R••••••• A•••••••• L••
        Jul 24, 2020 · Control person joined · fact
      • W•••• R••••••• A•••••••• L•• reported RAUM $29.5M, down 85% from $200.0M (2019-09-27 to 2020-05-15)
        May 15, 2020 · RAUM change · derived
      • W•••• R••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 24, 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