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

VISIONARY ASSET MANAGEMENT

VISIONARY ASSET MANAGEMENT, INC., CRD 147304

HOUSTON, TX

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:91a13919-7f32-a2a0-973d-bb1a6e03ebd4

Data as of Jul 19, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 1
On other graphs: 0
Observed: Nov 23, 2011 to Jul 19, 2018
38 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: $605MItem 5.F on the latest filing (2018-07-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $605M
Private client RAUM: $598MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 4,348
Individual clients: 4,084
High net worth clients: 237
Custody, client assets: $60.2M
SEC number: 801-69217
CRD: 147304
Filings on the tape: 38
First filed: Nov 23, 2011
Latest filed: Jul 19, 2018
Organised: Corporation, Delaware

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
COWAN, CARY, JOEL	Bod	Na	yes	04/2008	Nov 23, 2011	Jul 19, 2018
GRANT, NORMAN, CARL	Bod	Na	yes	12/2017	Dec 16, 2011	Jul 19, 2018
HOLTZ, DAVID, LEE	Bod	Na	yes	04/2008	Dec 16, 2011	Jul 19, 2018
MILLER, ANDREW, CASSEDY	PRESIDENT AND CCO	Na	yes	12/2010	Nov 23, 2011	Jul 19, 2018
NEXT FINANCIAL HOLDINGS, INC	Owner	E	yes	06/2013	Jul 3, 2013	Jul 19, 2018
SALINE, JEFFREY, JUDD	Chairman	Na	yes	12/2017	Dec 16, 2011	Jul 19, 2018
SMITH, PHILIP, FRANCIS	Cfo	Na	yes	03/2015	Mar 19, 2015	Jul 19, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NEXT FINANCIAL GROUP, INC.	n/a	Former SEC adviser	$3.8B	N	yes	n/a
NEXT FINANCIAL INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a

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
2017	Mar 29, 2018	$605M	$605M	8	6	0	n/a	n/a
2016	Mar 15, 2017	$616M	$616M	9	6	n/a	n/a	n/a
2015	Mar 30, 2016	$529M	$529M	10	6	n/a	n/a	n/a
2014	Mar 30, 2015	$658M	$658M	13	5	n/a	n/a	n/a
2013	Mar 17, 2014	$759M	$759M	8	1	n/a	n/a	n/a
2012	Mar 26, 2013	$490M	$490M	4	1	n/a	n/a	n/a
2011	Dec 7, 2011	$392M	$392M	n/a	0	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
2017	$605M	$616M	-1.7%	$658M	-2.7%	8	9	0	n/a

Relationships

Affiliated with (2)

→ NEXT FINANCIAL GROUP, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← ALPHASOURCE INVESTMENT COUNSEL, INCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← SMITH, PHILIP, FRANCISOwnerCFO, ownership code NA, individual
Mar 19, 2015 to presentfactForm ADV
← SALINE, JEFFREY, JUDDOwnerCHAIRMAN, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← MILLER, ANDREW, CASSEDYOwnerPRESIDENT AND CCO, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV
← COWAN, CARY, JOELOwnerBOD, ownership code NA, individual
Nov 23, 2011 to presentfactForm ADV
← GRANT, NORMAN, CARLOwnerBOD, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← HOLTZ, DAVID, LEEOwnerBOD, ownership code NA, individual
Dec 16, 2011 to presentfactForm ADV
← NEXT FINANCIAL HOLDINGS, INCOwnerOWNER, ownership code E, domestic entity
Jul 3, 2013 to presentfactForm ADV

Registered with (5)

← Mark Adam VuskovAdvisorregistration: previous registration
Mar 26, 2013 to Apr 1, 2019factForm ADV
← Jennifer ZittelAdvisorregistration: previous registration
Nov 6, 2015 to Apr 1, 2019factForm ADV
← Andrew Cassedy MillerAdvisorregistration: previous registration
Mar 29, 2012 to Apr 1, 2019factForm ADV
← JULIE ANN MARTINEZAdvisorregistration: previous registration
Feb 19, 2013 to Apr 1, 2019factForm ADV
← MARLANA ARLINE SPLETTSTOSSERAdvisorregistration: previous registration
Aug 11, 2014 to Aug 10, 2016factForm ADV

Dated events

Occurred
Jul 1, 2013
Succession filed (Item 4)
Visionary Asset Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91a13919-7f32-a2a0-973d-bb1a6e03ebd4
First observed: Nov 23, 2011
Last observed: Jul 19, 2018 99 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.

VISIONARY ASSET MANAGEMENT

VISIONARY ASSET MANAGEMENT, INC., CRD 147304

HOUSTON, TX

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:91a13919-7f32-a2a0-973d-bb1a6e03ebd4

Data as of Jul 19, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:05 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COWAN, CARY, JOEL

Bod

yes

04/2008

Nov 23, 2011

Jul 19, 2018

GRANT, NORMAN, CARL

Bod

yes

12/2017

Dec 16, 2011

Jul 19, 2018

HOLTZ, DAVID, LEE

Bod

yes

04/2008

Dec 16, 2011

Jul 19, 2018

MILLER, ANDREW, CASSEDY

PRESIDENT AND CCO

yes

12/2010

Nov 23, 2011

Jul 19, 2018

NEXT FINANCIAL HOLDINGS, INC

Owner

yes

06/2013

Jul 3, 2013

Jul 19, 2018

SALINE, JEFFREY, JUDD

Chairman

yes

12/2017

Dec 16, 2011

Jul 19, 2018

SMITH, PHILIP, FRANCIS

Cfo

yes

03/2015

Mar 19, 2015

Jul 19, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEXT FINANCIAL GROUP, INC.

n/a

Former SEC adviser

$3.8B

yes

n/a

NEXT FINANCIAL INSURANCE COMPANY

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$605M

n/a

2016

Mar 15, 2017

$616M

n/a

2015

Mar 30, 2016

$529M

n/a

2014

Mar 30, 2015

$658M

n/a

2013

Mar 17, 2014

$759M

n/a

2012

Mar 26, 2013

$490M

n/a

2011

Dec 7, 2011

$392M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$605M

$616M

-1.7%

$658M

-2.7%

n/a