DFX Intelligence

V•••••••• V•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

V•••••••• V•••••••• L••

CRD 135060

BEND, OR

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:73f5b4b0-4d8c-4da6-a7f2-8e119887a9ce

Data as of Jun 25, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Jun 25, 2020
24 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: $138M••• Locked
Discretionary RAUM: $138M
Private client RAUM: $127Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••••• V••••••••• F•••• L•••	Hedge Fund	$4.6M	Jan 17, 2019	25	Sep 29, 2017	dropped	021-200324
C•••••••• V••••••••• F•••• L•	Hedge Fund	$3.4M	Feb 27, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
V•••••••• R•••••••• T••••	Owner	E	yes	07/2010	Mar 19, 2012	Jun 25, 2020
V••••••••• J••••••• N••••	Trustee	D	yes	07/2010	Mar 19, 2012	Jun 25, 2020

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$138M	$144M	-4.6%	$118M	5.2%	5	5	0	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•• W••••• M••••••••• • C••••••••• S•••••••	2	Dec 31, 2020	Jan 14, 2021	BEND, OR	Team lift out	RIA to RIA	100.0%

Relationships

Controls (3)

← V••••••••• W••••••• L••••••OwnerTRUSTEE, ownership code D, individual
Mar 19, 2012 to presentfactForm ADV
← V••••••••• J••••••• N••••OwnerTRUSTEE, ownership code D, individual
Mar 19, 2012 to presentfactForm ADV
← V•••••••• R•••••••• T••••OwnerOWNER, ownership code E, domestic entity
Mar 19, 2012 to presentfactForm ADV

Owns (1)

← G•••• A•••••• D••••OwnerMEMBER, ownership code B, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:73f5b4b0-4d8c-4da6-a7f2-8e119887a9ce
First observed: Mar 19, 2012
Last observed: Jun 25, 2020 76 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.