DFX Intelligence

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SEC-registered adviser

W•••••••• A•••• M••••••••• L••

Asset manager (funds and pooled vehicles)Redondo Beach, CaliforniaCRD 312054SEC 801-124744IAPD

Latest filing Mar 26, 2026

First filing on the tape Mar 25, 2022 · 9 filings

SEC status approved since Apr 22, 2022

RAUM

$175M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$175M as of Mar 26, 2026

Feb 27, 2023$188M then

HNW client RAUM$0 as of Mar 27, 2024

Feb 27, 2023$0 then

State-registered IARs (5.B.3)0 as of Mar 26, 2026

Feb 27, 20230 then

Employees (5.A)3 as of Mar 26, 2026

Feb 27, 20233 then

Private funds2 as of Mar 26, 2026

Feb 27, 20232 then

RAUM -17% over the last fiscal year-2.5% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $87.3MderivedRAUM 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: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -17%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $175M, 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

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)
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$175M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $175M for 2 clientsreported
Compensation: n/areported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
P••••••• P•••••••• E••••• F•••• L••	Private Equity Fund	$96.6M	28	Mar 25, 2022
R•••••••• F•••••• I••• L••	Other Private Fund	$91.3M	65	Mar 25, 2022

Owners and control persons

Schedule A and B, latest filing

G•••••• H••••• · Directorcontrol
since 01/2023 · owns less than 5%
W•••• L••• N• · Chief Compliance Officercontrol
since 10/2023 · owns less than 5%
G•••••• K•••• A•••• K•••••••• · Trusteecontrol
since 10/2015 · owns F of N•••• G••••• 2••• D••••••• T••••
G•••••• K•••• A•••• K•••••••• · Trusteecontrol
since 10/2015 · owns F of G•••••• G••••• 2••• D••••••• T••••

Entity owners

W••••••••• L•• · Managing Member
direct · owns 75% or more
G• I•••••••• · Member
indirect · owns 25% to 50% of W••••••••• L••
G•••••• G••••• 2••• D••••••• T•••• · Trustee
indirect · owns 50% to 75% of G• I••••••••
N•••• G••••• 2••• D••••••• T•••• · Trustee
indirect · owns 50% to 75% of G• I••••••••

Related persons

Schedule D 7.A

W•••••••• H•••• R•••••
investment companyn
W•••••••• H•••• R••••• • T•• L••
investment companyn
W•••••••• H•••• R••••• I•• L••
investment companyn
W•••••••• H•••• R••••• I••• L••
investment companyn
W•••••••• H•••• R•••••• L••
investment companyn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $0 to $175M
Aug 25, 2025 to Mar 26, 2026
Discretionary RAUM · $210M to $175M
Aug 25, 2025 to Mar 26, 2026
Pooled vehicle RAUM · $210M to $175M
Aug 25, 2025 to Mar 26, 2026
RAUM · $210M to $175M
Aug 25, 2025 to Mar 26, 2026
Assets in custody · unset to 0.0
Mar 27, 2024 to Mar 21, 2025
Custody of client assets · false to true
Mar 27, 2024 to Mar 21, 2025
Employees · 4 to 3
Mar 27, 2024 to Mar 21, 2025
Financial planning clients · unset to
Mar 27, 2024 to Mar 21, 2025
Discretionary RAUM · $188M to $210M
Mar 27, 2024 to Mar 21, 2025
HNW RAUM · 0.0 to unset
Mar 27, 2024 to Mar 21, 2025
Individual RAUM · 0.0 to unset
Mar 27, 2024 to Mar 21, 2025
Pension RAUM · 0.0 to unset
Mar 27, 2024 to Mar 21, 2025
Pooled vehicle RAUM · $188M to $210M
Mar 27, 2024 to Mar 21, 2025
RAUM · $188M to $210M
Mar 27, 2024 to Mar 21, 2025
Employees · 3 to 4
Nov 21, 2023 to Mar 27, 2024
Discretionary RAUM · $188M to $188M
Nov 21, 2023 to Mar 27, 2024
Pooled vehicle RAUM · $188M to $188M
Nov 21, 2023 to Mar 27, 2024
RAUM · $188M to $188M
Nov 21, 2023 to Mar 27, 2024
Employees · 4 to 3
May 2, 2022 to Feb 27, 2023
State-registered IARs · 1 to 0
May 2, 2022 to Feb 27, 2023
Discretionary RAUM · $168M to $188M
May 2, 2022 to Feb 27, 2023
Pooled vehicle RAUM · $168M to $188M
May 2, 2022 to Feb 27, 2023
RAUM · $168M to $188M
May 2, 2022 to Feb 27, 2023

Signals

6 dated events

Na Lin Wong (Chief Compliance Officer) appeared on Schedule A of W•••••••• A•••• M••••••••• L••
Nov 21, 2023 · Control person joined · fact
Lynn Kathryn Jones (Chief Compliance Officer) no longer on Schedule A of W•••••••• A•••• M••••••••• L•• (listed 2023-10-25, absent 2023-11-21)
Nov 21, 2023 · Control person left · inference
K•••••••• K•••• A••• G••••• (Trustee) appeared on Schedule A of W•••••••• A•••• M••••••••• L••
Feb 27, 2023 · Control person joined · fact
L. Evan Curtis (Director) no longer on Schedule A of W•••••••• A•••• M••••••••• L•• (listed 2022-05-02, absent 2023-02-27)
Feb 27, 2023 · Control person left · inference
Hannah G••••• (Director) appeared on Schedule A of W•••••••• A•••• M••••••••• L••
Feb 27, 2023 · Control person joined · fact
W•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Mar 25, 2022 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

W•••••••• A•••• M••••••••• L•• · Independent Sponsors
shared crd · capital_provider
W•••••••• A•••• M••••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: 310-760-4010reportedpublic record, Form ADV, Mar 26, 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