# WL Ross & Co. LLC

> WL Ross & Co. LLC is an SEC-registered investment advisory firm in Dallas, TX, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 26, 2026.

- CRD: 141854
- Filed as: WL ROSS & CO. LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dallas, TX
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/141854
- AdvisorCensus page: https://advisorcensus.com/firm/wl-ross-and-co-llc-dallas-tx-141854

## Quick answers

**How is WL Ross & Co. LLC compensated?**
On its Form ADV (Item 5.E, October 2026), WL Ross & Co. LLC reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is WL Ross & Co. LLC located?**
WL Ross & Co. LLC's principal office is in Dallas, TX, according to its Form ADV.

**Is WL Ross & Co. LLC registered with the SEC or a state?**
WL Ross & Co. LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 141854.

**How much does WL Ross & Co. LLC manage?**
WL Ross & Co. LLC reports $224,585,127 in regulatory assets under management in its Form ADV filing dated March 26, 2026 (100% discretionary).

**How have WL Ross & Co. LLC's assets and staff changed since 2021?**
In the Form ADV data for WL Ross & Co. LLC: Regulatory assets under management: $2,143,639,882 in the October 2021 data and $224,585,127 in the October 2026 data, down 90%. Total employees: 25 in October 2021 and 9 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does WL Ross & Co. LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (4).

**Does WL Ross & Co. LLC report any disciplinary disclosures?**
Reports 9 disclosure items on Form ADV Item 11: yes answers to 8 questions about regulatory matters and 1 question about civil court matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.G, 11.H(1)(c)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/141854

**What changed in WL Ross & Co. LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $450,757,720 to $224,585,127 (-50%). Employees performing advisory functions went from 2 to 1. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $224,585,127
- Discretionary: $224,585,127
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Not reported | $0 |
| High net worth individuals | Not reported | $0 |
| Banking or thrift institutions | Not reported | $0 |
| Investment companies | Not reported | $0 |
| Business development companies | Not reported | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 4 | $224,585,127 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Not reported | $0 |
| Charitable organizations | Not reported | $0 |
| State or municipal government entities (including government pension plans) | Not reported | $0 |
| Other investment advisers | Not reported | $0 |
| Insurance companies | Not reported | $0 |
| Sovereign wealth funds and foreign official institutions | Not reported | $0 |
| Corporations or other businesses not listed above | Not reported | $0 |
| Other | Not reported | $0 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2007 (19 years)
- Employees: 9 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: DE, TX
- Disclosures (Item 11): Reports 9 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?
- 11.D(1): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.G: Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?
- 11.H(1)(c): Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/141854

### Websites listed on Form ADV (Item 1.I)
- invesco.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,143,639,882 | 25 | June 29, 2021 |
| October 2022 | $2,019,367,145 | 21 | March 28, 2022 |
| October 2023 | $1,594,372,532 | 19 | May 10, 2023 |
| October 2024 | $1,254,293,081 | 17 | August 8, 2024 |
| October 2025 | $450,757,720 | 12 | March 26, 2025 |
| October 2026 | $224,585,127 | 9 | March 26, 2026 |

Regulatory assets under management: $2,143,639,882 in the October 2021 data and $224,585,127 in the October 2026 data, down 90%.
Total employees: 25 in October 2021 and 9 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $450,757,720 to $224,585,127 (-50%).
- Employees performing advisory functions went from 2 to 1.
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. WL Ross & Co. LLC (CRD 141854): Form ADV filing data as of October 2026.