DFX Intelligence

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W•••• R••••••• A•••••••• L••

No RAUM reportedSEC-registered1 private funds· New York, New York

No RAUM reported, based in New York, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 0
RAUM change, 1 year: -100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-31 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-100.0%
RAUM, one year
RAUM $25M to $0 (-100.0%) on the Form ADV filed 31 Mar 2026, while offices fell 3 to 2.
Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 326717 · SEC 801-128154 · 7 filingsShow

CRD 326717SEC 801-128154First filing on the tape May 15, 2023, latest Mar 31, 2026SEC status approved since Jun 27, 2023IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

209

143 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM -100% over the last fiscal year · the tape starts May 15, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$0 as of Mar 31, 2026

Apr 17, 2025$25.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 28, 20240 then

Employees (5.A)209 as of Mar 31, 2026

Mar 28, 2024150 then

Private funds: 1

RAUM -100% over the last fiscal yearIARs 0 to 0offices 3 to 2

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes

Broker-dealer affiliated

The rule behind each archetype, and every derived figure1 ruleShow

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)

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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: -100%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: subscription, otherreportedItem 5.E
Advisory activities: portfolio management for investment companies, pension consulting, publications, 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: 1reported
Charitable clients: n/areported
Accounts: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 20900% of advisors also broker-dealer representativesderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

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

Fund	Type	Gross assets	Owners	First reported
W•• B•••• L••	Private Equity Fund	$2.0M	8	Mar 31, 2026

Owners and control persons

Schedule A and B, latest filing

W••••• E•••••• M••• · Ceocontrol
since 08/2009 · owns less than 5%
W••••• E•••••• M••• · Ownercontrol
since 08/2009 · owns 75% or more of W•••• H•••••• L••
J•••••• F•••••• · Chief Financial Officer/ Finop
since 04/2024 · owns less than 5%
P•••••••• S•••••• M•••• · Chief Compliance Officer
since 07/2021 · owns less than 5%

Entity owners

W•••• H•••••• L•• · Sole Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

W• S••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

San F••••••Co, CA8 employees
Boston, MA7 employees
Cottleville, MO3 employees
Daytona Beach, FL1 employee

ADV anomalies

1 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Mar 31, 2026
advises private funds (Item 7.B): no on the filing of 2025-04-17, yes on the filing of 2026-03-31
peers: other advisers, under $100M (660)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1 to 0
Apr 17, 2025 to Mar 31, 2026
Advisory employees · 120 to 143
Apr 17, 2025 to Mar 31, 2026
BD registered reps · 120 to 209
Apr 17, 2025 to Mar 31, 2026
Pension plan clients · 8 to 1
Apr 17, 2025 to Mar 31, 2026
Pooled vehicle clients · 100.0 to unset
Apr 17, 2025 to Mar 31, 2026

Full history · 25 changes

Employees · 154 to 209
Apr 17, 2025 to Mar 31, 2026
Other offices · 3 to 2
Apr 17, 2025 to Mar 31, 2026
Private funds · unset to 1
Apr 17, 2025 to Mar 31, 2026
Non-discretionary RAUM · $25.0M to $0
Apr 17, 2025 to Mar 31, 2026
Pension RAUM · unset to 0.0
Apr 17, 2025 to Mar 31, 2026
RAUM · $25.0M to $0
Apr 17, 2025 to Mar 31, 2026
Accounts · unset to 1.0
Jun 3, 2024 to Apr 17, 2025
Advisory employees · 145 to 120
Jun 3, 2024 to Apr 17, 2025
Advisory activities · 3 to 4
Jun 3, 2024 to Apr 17, 2025
BD registered reps · 150 to 120
Jun 3, 2024 to Apr 17, 2025
Employees · 150 to 154
Jun 3, 2024 to Apr 17, 2025
Financial planning clients · 0 to 0
Jun 3, 2024 to Apr 17, 2025
Other offices · 4 to 3
Jun 3, 2024 to Apr 17, 2025
Discretionary RAUM · unset to 0.0
Jun 3, 2024 to Apr 17, 2025
Non-discretionary RAUM · unset to 25000000.0
Jun 3, 2024 to Apr 17, 2025
RAUM · unset to 25000000.0
Jun 3, 2024 to Apr 17, 2025
Advisory employees · 99 to 145
Jun 29, 2023 to Mar 28, 2024
BD registered reps · 105 to 150
Jun 29, 2023 to Mar 28, 2024
Employees · 106 to 150
Jun 29, 2023 to Mar 28, 2024
Other offices · 6 to 4
Jun 29, 2023 to Mar 28, 2024

Signals

6 dated events

••• Locked
Mar 31, 2026 · private fund first reported · fact
••• Locked
Mar 31, 2026 · ria principal change · fact
••• Locked
Mar 31, 2026 · ria office closed · derived
••• Locked
Mar 31, 2026 · ria office closed · derived
••• Locked
Mar 31, 2026 · Control person joined · fact

Full timeline · 6 events

••• Locked
May 15, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

W•••• R••••••• A•••••••• L•• · Independent Sponsors
same CRD · capital provider
W•••• R••••••• A•••••••• L•• · Private Equity
same CRD · organization

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

W•••• R••••••• A•••••••• L•• is the same institution as 2 records in Private Equity and Independent Sponsors.

Private Equity1Independent Sponsors1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

Checking your plan…

Not yet on record: regulatory AUM, net advisor flow, 12 months, private clients.