DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
S•• D•••• J• V•••••• • C••• L••
Latest filing May 27, 2026
First filing on the tape Mar 26, 2012 · 21 filings
SEC status approved since Nov 1, 1940
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
64%
$901M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$349M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.4B as of May 27, 2026
Mar 26, 2012$1.5B then
HNW client RAUM$828M as of May 27, 2026
Mar 26, 2018$1.2B then
State-registered IARs (5.B.3)4 as of May 27, 2026
Mar 25, 20134 then
Employees (5.A)5 as of May 27, 2026
Mar 25, 20134 then
Private funds: no history
RAUM -8.7% over the last fiscal year-5.8% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $349MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Custody
- $1.2B, 465 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$828M59%
- Charitable organizations$304M22%
- Investment companies$130M9.3%
- Individuals$73.1M5.2%
- Corporations and businesses$62.4M4.5%
- Individual clients
- 133reported
- HNW clients
- 190reported
- Pension plan clients
- n/areported
- Charitable clients
- 29reported
- Accounts
- 498reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 465 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.64 fund_share=0.09 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• G• V••••••Chartered Financial Analyst | New Orleans, La | Feb 27, 2015 | 23 y | 0 |
| G••••• V•••••• Y•••• | New Orleans, La | May 9, 2019 | 41 y | 0 |
| S•••••• J••••• V•••••• | New Orleans, La | Feb 3, 2021 | 28 y | 0 |
| S• D•••• J••••• V•••••• | New Orleans, La | Mar 17, 2021 | 61 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• R•••• A••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- V••••••• L••••• G• · Membercontrolsince 10/2016 · owns 25% to 50%
- V••••••• S••••••• J••••• · Membercontrolsince 01/2004 · owns 25% to 50%
- Y••••• G•••••• V•••••• · Membercontrolsince 01/1992 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New Orleans, La · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 540 to 498Mar 21, 2025 to Mar 24, 2026
- Charity clients · 30 to 29Mar 21, 2025 to Mar 24, 2026
- Corporate clients · 30 to 27Mar 21, 2025 to Mar 24, 2026
- HNW clients · 222 to 190Mar 21, 2025 to Mar 24, 2026
- Individual clients · 155 to 133Mar 21, 2025 to Mar 24, 2026
- Assets in custody · $1.3B to $1.2BMar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.5B to $1.4BMar 21, 2025 to Mar 24, 2026
- HNW RAUM · $902M to $828MMar 21, 2025 to Mar 24, 2026
- Individual RAUM · $81.5M to $73.1MMar 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $32.6M to $34.0MMar 21, 2025 to Mar 24, 2026
- RAUM · $1.5B to $1.4BMar 21, 2025 to Mar 24, 2026
- Accounts · 568 to 540Apr 17, 2024 to Mar 21, 2025
- Corporate clients · 34 to 30Apr 17, 2024 to Mar 21, 2025
- HNW clients · 244 to 222Apr 17, 2024 to Mar 21, 2025
- Individual clients · 149 to 155Apr 17, 2024 to Mar 21, 2025
- Assets in custody · $1.3B to $1.3BApr 17, 2024 to Mar 21, 2025
- Employees · 4 to 5Apr 17, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 0Apr 17, 2024 to Mar 21, 2025
- Discretionary RAUM · $1.6B to $1.5BApr 17, 2024 to Mar 21, 2025
- HNW RAUM · $960M to $902MApr 17, 2024 to Mar 21, 2025
- Individual RAUM · $78.8M to $81.5MApr 17, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $30.9M to $32.6MApr 17, 2024 to Mar 21, 2025
- RAUM · $1.6B to $1.5BApr 17, 2024 to Mar 21, 2025
- Accounts · 594 to 568Mar 29, 2023 to Mar 15, 2024
- Charity clients · 32 to 30Mar 29, 2023 to Mar 15, 2024
- Corporate clients · 33 to 34Mar 29, 2023 to Mar 15, 2024
- HNW clients · 378 to 244Mar 29, 2023 to Mar 15, 2024
- Assets in custody · $1.3B to $1.3BMar 29, 2023 to Mar 15, 2024
- Discretionary RAUM · $1.6B to $1.6BMar 29, 2023 to Mar 15, 2024
- HNW RAUM · $993M to $960MMar 29, 2023 to Mar 15, 2024
- Individual RAUM · $69.1M to $78.8MMar 29, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $27.6M to $30.9MMar 29, 2023 to Mar 15, 2024
- RAUM · $1.7B to $1.6BMar 29, 2023 to Mar 15, 2024
- Accounts · 609 to 594Mar 21, 2022 to Mar 29, 2023
- Charity clients · 36 to 32Mar 21, 2022 to Mar 29, 2023
- HNW clients · 438 to 378Mar 21, 2022 to Mar 29, 2023
- Individual clients · 100 to 149Mar 21, 2022 to Mar 29, 2023
- Assets in custody · $1.7B to $1.3BMar 21, 2022 to Mar 29, 2023
- Discretionary RAUM · $2.2B to $1.6BMar 21, 2022 to Mar 29, 2023
- HNW RAUM · $1.3B to $993MMar 21, 2022 to Mar 29, 2023
Signals
1 dated events
- Anne Ruth Giardina (Chief Compliance Officer) appeared on Schedule A of S•• D•••• J• V•••••• • C••• L••Apr 17, 2024 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@v••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 703-894-1061reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 504-525-0808reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-209-1129reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/V••••••-&-CO-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- V••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 504-525-0808reportedpublic record, Form ADV, May 27, 2026
- Contact form
- v••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- v••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $349Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026