DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

L•••••• G••••• V•••••• C••

Former SEC-registered adviserCRD 104797SEC 801-35900IAPD

Legal name L•••••• V••••••• V••••••

Latest filing Jul 16, 2018

First filing on the tape Mar 30, 2012 · 8 filings

RAUM

$64.4M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

100%

$64.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$64.4M as of Jul 16, 2018

Mar 30, 2012$112M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jul 16, 2018

Mar 30, 20120 then

Employees (5.A)0 as of Jul 16, 2018

Mar 28, 20131 then

Private funds: no history

RAUM -21% over the last fiscal year-20% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 16, 2018; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $376,805derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -21%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$64.4M100%

Individual clients: 50reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 171reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••• V•••••••• V• · Owner/Chief Compliance Officercontrol
since 12/1989 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 203 to 171
Apr 20, 2017 to Jul 16, 2018
Advisory employees · 1 to 0
Apr 20, 2017 to Jul 16, 2018
Individual clients · unset to 50.0
Apr 20, 2017 to Jul 16, 2018
Employees · 1 to 0
Apr 20, 2017 to Jul 16, 2018
Other offices · unset to 0.0
Apr 20, 2017 to Jul 16, 2018
Discretionary RAUM · $80.5M to $63.0M
Apr 20, 2017 to Jul 16, 2018
Individual RAUM · unset to 64433728.0
Apr 20, 2017 to Jul 16, 2018
Non-discretionary RAUM · $1.5M to $1.4M
Apr 20, 2017 to Jul 16, 2018
RAUM · $82.0M to $64.4M
Apr 20, 2017 to Jul 16, 2018
Accounts · 489 to 203
Mar 29, 2016 to Apr 20, 2017
Discretionary RAUM · $106M to $80.5M
Mar 29, 2016 to Apr 20, 2017
Non-discretionary RAUM · $2.2M to $1.5M
Mar 29, 2016 to Apr 20, 2017
RAUM · $109M to $82.0M
Mar 29, 2016 to Apr 20, 2017
Accounts · 505 to 489
Mar 27, 2015 to Mar 29, 2016
Discretionary RAUM · $125M to $106M
Mar 27, 2015 to Mar 29, 2016
Non-discretionary RAUM · $2.8M to $2.2M
Mar 27, 2015 to Mar 29, 2016
RAUM · $128M to $109M
Mar 27, 2015 to Mar 29, 2016
Accounts · 543 to 505
Nov 21, 2014 to Mar 27, 2015
Discretionary RAUM · $124M to $125M
Nov 21, 2014 to Mar 27, 2015
Non-discretionary RAUM · $2.6M to $2.8M
Nov 21, 2014 to Mar 27, 2015
RAUM · $127M to $128M
Nov 21, 2014 to Mar 27, 2015
Accounts · 550 to 543
Mar 28, 2013 to Mar 28, 2014
Discretionary RAUM · $117M to $124M
Mar 28, 2013 to Mar 28, 2014
Non-discretionary RAUM · $2.2M to $2.6M
Mar 28, 2013 to Mar 28, 2014
RAUM · $119M to $127M
Mar 28, 2013 to Mar 28, 2014
Accounts · 411 to 550
Mar 30, 2012 to Mar 28, 2013
Advisory employees · unset to 1.0
Mar 30, 2012 to Mar 28, 2013
Employees · unset to 1.0
Mar 30, 2012 to Mar 28, 2013
Discretionary RAUM · $110M to $117M
Mar 30, 2012 to Mar 28, 2013
Non-discretionary RAUM · $1.3M to $2.2M
Mar 30, 2012 to Mar 28, 2013
RAUM · $112M to $119M
Mar 30, 2012 to Mar 28, 2013

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026