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
W••• H••• C•••••• M••••••••• L•
Latest filing Mar 25, 2026
First filing on the tape Mar 5, 2020 · 13 filings
SEC status approved since Apr 3, 2020
RAUM
$1.9B
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.9B as of Mar 25, 2026
Mar 31, 2021$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 31, 20210 then
Employees (5.A)7 as of Mar 25, 2026
Mar 31, 20214 then
Private funds1 as of Mar 25, 2026
Mar 31, 20211 then
RAUM -8.5% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $267MderivedRAUM 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
- -8.5%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 pooled vehicles, otherreportedItem 5.G
- Custody
- $1.7B, 2 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
- 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)
- 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
- Pooled investment vehicles$1.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7B for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••• H••• P•••••••• L• | Hedge Fund | $1.5B | 376 | Dec 23, 2019 |
| L••• W••• I• L• | Hedge Fund | $13.8M | 15 | Nov 13, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••• G••••••• S••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- L••••••• G•••• S••••• · Founder, Chief Investment Officercontrolsince 01/2019 · owns 75% or more
- L••••••• G•••• S••••• · Managing Membercontrolsince 01/2019 · owns 75% or more of W••• H••• G•••••• P••••••• L••
Entity owners
- W••• H••• G•••••• P••••••• L•• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- W••• H••• G•••••• P••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 7Mar 26, 2025 to Mar 25, 2026
- Assets in custody · $1.8B to $1.7BMar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $2.0B to $1.9BMar 26, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $2.0B to $1.7BMar 26, 2025 to Mar 25, 2026
- RAUM · $2.0B to $1.9BMar 26, 2025 to Mar 25, 2026
- Accounts · 4 to 6Mar 20, 2024 to Mar 26, 2025
- Pooled vehicle clients · 2 to 3Mar 20, 2024 to Mar 26, 2025
- Assets in custody · $1.5B to $1.8BMar 20, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 26, 2025
- Other offices · 0 to 1Mar 20, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.6B to $2.0BMar 20, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.5B to $2.0BMar 20, 2024 to Mar 26, 2025
- RAUM · $1.6B to $2.0BMar 20, 2024 to Mar 26, 2025
- Accounts · 6 to 4Nov 13, 2023 to Mar 20, 2024
- Advisory employees · 5 to 4Nov 13, 2023 to Mar 20, 2024
- Pooled vehicle clients · 3 to 2Nov 13, 2023 to Mar 20, 2024
- Assets in custody · $1.4B to $1.5BNov 13, 2023 to Mar 20, 2024
- Employees · 8 to 7Nov 13, 2023 to Mar 20, 2024
- Private funds · 2 to 1Nov 13, 2023 to Mar 20, 2024
- Discretionary RAUM · $1.7B to $1.6BNov 13, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $1.4B to $1.5BNov 13, 2023 to Mar 20, 2024
- RAUM · $1.7B to $1.6BNov 13, 2023 to Mar 20, 2024
- Accounts · 5 to 6Apr 5, 2023 to Nov 13, 2023
- Advisory employees · 4 to 5Apr 5, 2023 to Nov 13, 2023
- Pooled vehicle clients · 2 to 3Apr 5, 2023 to Nov 13, 2023
- Assets in custody · $380M to $1.4BApr 5, 2023 to Nov 13, 2023
- Employees · 7 to 8Apr 5, 2023 to Nov 13, 2023
- Private funds · 1 to 2Apr 5, 2023 to Nov 13, 2023
- Discretionary RAUM · $1.1B to $1.7BApr 5, 2023 to Nov 13, 2023
- Pooled vehicle RAUM · $869M to $1.4BApr 5, 2023 to Nov 13, 2023
- RAUM · $1.1B to $1.7BApr 5, 2023 to Nov 13, 2023
- Advisory employees · 2 to 4Nov 4, 2022 to Apr 5, 2023
- Assets in custody · $329M to $380MNov 4, 2022 to Apr 5, 2023
- Employees · 4 to 7Nov 4, 2022 to Apr 5, 2023
- Discretionary RAUM · $386M to $1.1BNov 4, 2022 to Apr 5, 2023
- Pooled vehicle RAUM · $329M to $869MNov 4, 2022 to Apr 5, 2023
- RAUM · $386M to $1.1BNov 4, 2022 to Apr 5, 2023
- HQ city · NEW YORK to GREENWICHMar 25, 2022 to Oct 26, 2022
- HQ state · NY to CTMar 25, 2022 to Oct 26, 2022
- Advisory employees · 3 to 2Mar 31, 2021 to Mar 25, 2022
Signals
5 dated events
- W••• H••• C•••••• M••••••••• L• reported RAUM $2.0B, up 28% from $1.6B (2024-03-20 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- W••• H••• C•••••• M••••••••• L• reported RAUM $1.7B, up 54% from $1.1B (2023-04-05 to 2023-11-13)Nov 13, 2023 · RAUM change · derived
- W••• H••• C•••••• M••••••••• L• reported RAUM $1.1B, up 182% from $385.9M (2022-11-04 to 2023-04-05)Apr 5, 2023 · RAUM change · derived
- W••• H••• C•••••• M••••••••• L• reported RAUM $385.9M, up 177% from $139.5M (2021-03-31 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- W••• H••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Mar 5, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••• H••• C•••••• M••••••••• L• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-933-5538reportedpublic record, Form ADV, Mar 25, 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