DFX Intelligence

V•• C••••• J••••• A•• W•••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

V•• C••••• J••••• A•• W•••• I•••

VAN C••••, J•••••, AND W•••, INC., CRD 126636

BRONXVILLE, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0ad22351-3320-07ab-0c7e-1410e80adb01

Data as of Oct 16, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Oct 16, 2019
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $52.9M••• Locked
Discretionary RAUM: $49.0M
Private client RAUM: $43.3Mderived••• Locked
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••• G•••• J•••	PRESIDENT AND CIO/CHIEF COMPLIANCE OFFICER	E	yes	07/2004	Mar 26, 2015	Oct 16, 2019
S•••••••• N•••••• R••	DIRECTOR OF RESEARCH	Na	no	01/2012	Mar 12, 2012	Oct 16, 2019

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Relationships

Controls (1)

← R••••• G•••• J•••OwnerPRESIDENT AND CIO/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 26, 2015 to presentfactForm ADV

Owns (1)

← S•••••••• N•••••• R••OwnerDIRECTOR OF RESEARCH, ownership code NA, individual
Mar 12, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0ad22351-3320-07ab-0c7e-1410e80adb01
First observed: Mar 12, 2012
Last observed: Oct 16, 2019 84 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.