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

VARIPHASE FINANCIAL PARTNERS, LLC

CRD 115888

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:20c0593d-7254-b757-1fc2-15ca2a945ccd

Data as of Jul 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Apr 12, 2012 to Jul 17, 2012
9 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: $41.9MItem 5.F on the latest filing (2012-07-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.9M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 177
Custody, client assets: $41.9M
SEC number: 801-63932
CRD: 115888
Filings on the tape: 9
First filed: Apr 12, 2012
Latest filed: Jul 17, 2012
Organised: Limited Liability Company, Maryland

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DIXON, DOLORES, ANN	CHIEF FINANCIAL PLANNING OFFICER & INVESTMENT COMMITTEE MEMBER	Na	yes	08/2000	Apr 12, 2012	Jul 17, 2012
ROSSMAN, JAMES, ALFRED	MEMBER/CHIEF COMPLIANCE OFFICER(01/2005)	E	yes	08/2000	Apr 12, 2012	Jul 17, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Apr 12, 2012	$41.9M	$6.9M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$41.9M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← ROSSMAN, JAMES, ALFREDOwnerMEMBER/CHIEF COMPLIANCE OFFICER(01/2005), ownership code E, individual
Apr 12, 2012 to presentfactForm ADV
← DIXON, DOLORES, ANNOwnerCHIEF FINANCIAL PLANNING OFFICER & INVESTMENT COMMITTEE MEMBER, ownership code NA, individual
Apr 12, 2012 to presentfactForm ADV

Registered with (1)

← JAMES ALFRED ROSSMANAdvisorregistration: previous registration
Aug 14, 2001 to Jun 30, 2023factForm ADV

Dated events

Occurred
Jun 30, 2023
Advisor changed firm
James Alfred Rossman left Variphase Financial Partners, Llc for Buttonwood Financial Advisors, Inc. (registered 2023-06-30)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:20c0593d-7254-b757-1fc2-15ca2a945ccd
First observed: Apr 12, 2012
Last observed: Jul 17, 2012 172 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.

VARIPHASE FINANCIAL PARTNERS, LLC

CRD 115888

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:20c0593d-7254-b757-1fc2-15ca2a945ccd

Data as of Jul 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:49 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DIXON, DOLORES, ANN

CHIEF FINANCIAL PLANNING OFFICER & INVESTMENT COMMITTEE MEMBER

yes

08/2000

Apr 12, 2012

Jul 17, 2012

ROSSMAN, JAMES, ALFRED

MEMBER/CHIEF COMPLIANCE OFFICER(01/2005)

yes

08/2000

Apr 12, 2012

Jul 17, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Apr 12, 2012

$41.9M

$6.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$41.9M

n/a