DFX Intelligence

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

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RIA / WealthRegistered adviserInstitutional managerSEC registeredRAUM 10b 100b

V••• I••••••••• M••••••••• L••

CRD 108934

ATLANTA, GA

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Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 28
On other graphs: 1
Observed: Mar 30, 2012 to Mar 31, 2026
40 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

V••• I••••••••• M••••••••• L••

Intermediary · key_crd, shared_crd

Facts

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

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.02 institutional_share=0.97 related_bd=true related_bank=true bd_reps=189.0
Regulatory AUM: $39B••• Locked
Discretionary RAUM: $39B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 859

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• V••••••• J•••••	CHIEF INVESTMENT OFFICER OF EQUITIES & SENIOR MANAGING DIRECTOR	Na	yes	01/2022	Mar 31, 2022	Aug 7, 2024
F••••••• H•••• P•••	HEAD OF IM LEGAL & MANAGING DIRECTOR	Na	yes	01/2020	Jan 9, 2020	Aug 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••• I••••••••• M••••••••• C•• L••	n/a	Asset manager	$275B	N	yes	n/a
V••• I••••••••• L••	n/a	Asset manager	$59B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	61	no
Scottsdale	Az	United States	28	no
SAN DIEGO	CA	United States	25	no
SAN FRANCISCO	CA	United States	11	no
Westport	Ct	United States

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$39B	$32B	19.4%	$36B	2.1%	859	880	7	7

Relationships

Affiliated with (20)

← V••• F•••••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ V••• I••••••••• M••••••••• C•• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ V••• A••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ V••• I••••••••• L••Registered adviser

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
31 Mar 2026
Ria principal change
••• Locked
Form ADV
Occurred
7 Aug 2024
Control person left
••• Locked
Form ADV
Occurred
16 Jul 2024
Control person left
••• Locked
Form ADV
Occurred
16 Jul 2024
Control person joined
••• Locked
Form ADV
Occurred
12 Jan 2024
Control person left2 events
V••• I••••••••• M••••••••• L••: control person left, 2 events, on 12 Jan 2024
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Mar 31, 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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
V••• H•••••••• I•••	Shareholder	E	yes	07/2022	Aug 23, 2022	Aug 7, 2024
W••••• M•••••• N••	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	Na	yes	01/2023	Jan 25, 2023	Aug 7, 2024

All 14 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••• A••••••••• A•••• M••••••••• I•••••• L••••••	n/a	n/a	n/a	N	yes	n/a
V••• F•••••••• P•••••••• L••	n/a	Former SEC adviser	n/a	N	yes	n/a
V••• I••••••••• T•••• C••	n/a	n/a	n/a	Y	yes	n/a
V••• I••••••••• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$87B	$87B	896	221	n/a	n/a	n/a
2014	Mar 31, 2015	$87B	$86B	916	217	n/a	n/a	n/a
2013	Mar 31, 2014	$84B	$83B	888	230	n/a	n/a	n/a
2012	Mar 28, 2013	$92B	$1.1B	896	255	n/a	n/a	n/a
2011	Mar 30, 2012	$90B	$88B	n/a	n/a	n/a	n/a	n/a