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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

VERMILLION FINANCIAL ADVISORS, INC.

CRD 119239

SOUTH BARRINGTON, IL

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:9c850e1b-15da-637f-4edc-2efd12b7cdc7

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Mar 27, 2026
17 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: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $387MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $360MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $77.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 10
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,021
Individual clients: 162
High net worth clients: 103
SEC number: 801-69058
CRD: 119239
Filings on the tape: 17
First filed: Mar 30, 2012
Latest filed: Mar 27, 2026
Organised: Corporation, IL
Website: vermillionfinancial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
MARK STEPHEN LASPISA	Certified Financial Planner	SOUTH BARRINGTON, IL	28	38	n/a	no
JEFFREY JAMES PEARCE	Certified Financial Planner	SOUTH BARRINGTON, IL	28	36	n/a	no
PHILLIP C COAD	Certified Financial Planner	SOUTH BARRINGTON, IL	15	20	n/a	no
John La Spisa	Certified Financial Planner	SOUTH BARRINGTON, IL	1	12	n/a	no
Jason Daniel Dhooghe	Certified Financial Planner	SOUTH BARRINGTON, IL	1	15	1	no

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
LA SPISA, LAURA, ANNE	SECRETARY / TREASURER	Na	yes	01/1999	Mar 30, 2012	Mar 26, 2024
LASPISA, MARK, STEPHEN	PRESIDENT, MANAGING ADVISOR, CHIEF COMPLIANCE OFFICER	E	yes	06/1997	Mar 30, 2012	Mar 26, 2024

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
2025	Mar 27, 2026	$387M	$0	10	5	1	n/a	n/a
2024	Mar 31, 2025	$370M	$0	8	6	0	n/a	n/a
2023	Mar 26, 2024	$319M	$0	9	7	0	n/a	n/a
2022	Mar 30, 2023	$265M	$0	10	7	0	n/a	n/a
2021	Apr 1, 2022	$308M	$0	18	10	0	n/a	n/a
2020	Apr 1, 2021	$259M	$0	18	10	0	n/a	n/a
2019	Jun 22, 2020	$172M	$0	15	8	0	n/a	n/a
2018	Mar 30, 2019	$152M	$0	14	7	1	n/a	n/a
2017	Apr 2, 2018	$157M	$0	14	7	1	n/a	n/a
2016	Mar 30, 2017	$139M	$0	15	6	n/a	n/a	n/a
2015	Mar 31, 2016	$129M	$0	15	6	n/a	n/a	n/a
2014	Mar 24, 2015	$135M	$0	15	6	n/a	n/a	n/a
2013	Mar 31, 2014	$123M	$0	10	6	n/a	n/a	n/a
2012	Apr 1, 2013	$112M	$0	13	6	n/a	n/a	n/a
2011	Mar 30, 2012	$106M	$0	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	1

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
2025	$387M	$370M	4.4%	$265M	13.4%	10	8	1	0

Relationships

Registered with (7)

← Jason Daniel DhoogheAdvisorregistration: current employment
Jul 31, 2025 to presentfactForm ADV
← John La SpisaAdvisorregistration: current employment
Oct 18, 2024 to presentfactForm ADV
← PHILLIP C COADAdvisorregistration: current employment
Mar 31, 2011 to presentfactForm ADV
← MARK STEPHEN LASPISAAdvisorregistration: current employment
Sep 20, 1997 to presentfactForm ADV
← JEFFREY JAMES PEARCEAdvisorregistration: current employment
Sep 20, 1997 to presentfactForm ADV
← ROBERT WARREN HANSONAdvisorregistration: previous registration
Sep 20, 1997 to Apr 29, 2025factForm ADV
← JAMES EUGENE MALINOWSKIAdvisorregistration: previous registration
Sep 20, 1997 to Nov 19, 2008factForm ADV

Controls (2)

← LASPISA, MARK, STEPHENOwnerPRESIDENT, MANAGING ADVISOR, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to Mar 26, 2024factForm ADV
← LA SPISA, LAURA, ANNEOwnerSECRETARY / TREASURER, ownership code NA, individual
Mar 30, 2012 to Mar 26, 2024factForm ADV

Dated events

Occurred
Apr 29, 2025
Advisor changed firm
Robert Warren Hanson left Vermillion Financial Advisors, Inc. for Private Advisor Group, Llc (registered 2025-06-04)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c850e1b-15da-637f-4edc-2efd12b7cdc7
First observed: Mar 30, 2012
Last observed: Mar 27, 2026 5 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.

VERMILLION FINANCIAL ADVISORS, INC.

CRD 119239

SOUTH BARRINGTON, IL

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:9c850e1b-15da-637f-4edc-2efd12b7cdc7

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:04 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

MARK STEPHEN LASPISA

Certified Financial Planner

SOUTH BARRINGTON, IL

n/a

JEFFREY JAMES PEARCE

Certified Financial Planner

SOUTH BARRINGTON, IL

n/a

PHILLIP C COAD

Certified Financial Planner

SOUTH BARRINGTON, IL

n/a

John La Spisa

Certified Financial Planner

SOUTH BARRINGTON, IL

n/a

Jason Daniel Dhooghe

Certified Financial Planner

SOUTH BARRINGTON, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LA SPISA, LAURA, ANNE

SECRETARY / TREASURER

yes

01/1999

Mar 30, 2012

Mar 26, 2024

LASPISA, MARK, STEPHEN

PRESIDENT, MANAGING ADVISOR, CHIEF COMPLIANCE OFFICER

yes

06/1997

Mar 30, 2012

Mar 26, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$387M

n/a

2024

Mar 31, 2025

$370M

n/a

2023

Mar 26, 2024

$319M

n/a

2022

Mar 30, 2023

$265M

n/a

2021

Apr 1, 2022

$308M

n/a

2020

Apr 1, 2021

$259M

n/a

2019

Jun 22, 2020

$172M

n/a

2018

Mar 30, 2019

$152M

n/a

2017

Apr 2, 2018

$157M

n/a

2016

Mar 30, 2017

$139M

n/a

2015

Mar 31, 2016

$129M

n/a

2014

Mar 24, 2015

$135M

n/a

2013

Mar 31, 2014

$123M

n/a

2012

Apr 1, 2013

$112M

n/a

2011

Mar 30, 2012

$106M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$387M

$370M

4.4%

$265M

13.4%