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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Former SEC-registered adviser
V•••• M••••••••• I••
Latest filing Mar 30, 2022
First filing on the tape Aug 20, 2015 · 13 filings
RAUM
$97.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
40%
$38.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$48.5M
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$97.1M as of Mar 30, 2022
Feb 24, 2016$100M then
HNW client RAUM$22.1M as of Mar 30, 2022
Mar 27, 2018$1.8M then
State-registered IARs (5.B.3)1 as of Mar 30, 2022
Feb 24, 20162 then
Employees (5.A)8 as of Mar 30, 2022
Feb 24, 20163 then
Private funds: no history
RAUM +3.5% over the last fiscal year-5.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
- RAUM per advisor
- $48.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $660,319derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$56.7M58%
- High-net-worth individuals$22.1M23%
- Individuals$16.3M17%
- Pension and profit-sharing plans$1.7M1.8%
- Charitable organizations$121,4110.1%
- Corporations and businesses$64,9950.1%
- Individual clients
- 58reported
- HNW clients
- 13reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 147reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• H•••••• L•••••••Certified Financial Planner | Menlo Park, Ca | Mar 3, 2023 | 12 y | 2 |
| M••• A•••••••• L••••••• | Menlo Park, Ca | Mar 13, 2023 | 12 y | 2 |
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
- H••••• P••• S•••• to C••••••• P••••••••• L••Mar 26, 2013 · Other
Joined, latest
- D•••• H•••••• L••••••• from C••••••• P••••••••• L••Dec 23, 2015 · Other
- M••• A•••••••• L••••••• from C••••••• P••••••••• L••Dec 23, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••• P••••••••• L••May 18, 2016 · Los Altos, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• D••••• H•••••• · Director & Shareholdercontrolsince 06/2014 · owns 50% to 75%
- L•••••••• M•••• A•••••••• · President, Chief Compliance Officer, Director & Shareholdercontrolsince 06/2014 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 134 to 147Mar 31, 2021 to Mar 30, 2022
- HNW clients · 11 to 13Mar 31, 2021 to Mar 30, 2022
- Individual clients · 59 to 58Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $93.8M to $97.1MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $10.4M to $22.1MMar 31, 2021 to Mar 30, 2022
- Individual RAUM · $15.1M to $16.3MMar 31, 2021 to Mar 30, 2022
- Pension RAUM · $1.3M to $1.7MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $66.8M to $56.7MMar 31, 2021 to Mar 30, 2022
- RAUM · $93.8M to $97.1MMar 31, 2021 to Mar 30, 2022
- Accounts · 137 to 134Jun 29, 2020 to Mar 31, 2021
- Corporate clients · 2 to 1Jun 29, 2020 to Mar 31, 2021
- HNW clients · 10 to 11Jun 29, 2020 to Mar 31, 2021
- Individual clients · 52 to 59Jun 29, 2020 to Mar 31, 2021
- Pooled vehicle clients · 2 to 1Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $99.9M to $93.8MJun 29, 2020 to Mar 31, 2021
- HNW RAUM · $4.9M to $10.4MJun 29, 2020 to Mar 31, 2021
- Individual RAUM · $16.5M to $15.1MJun 29, 2020 to Mar 31, 2021
- Pension RAUM · $466,212 to $1.3MJun 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $73.2M to $66.8MJun 29, 2020 to Mar 31, 2021
- RAUM · $99.9M to $93.8MJun 29, 2020 to Mar 31, 2021
- Accounts · 131 to 137Apr 1, 2019 to Mar 30, 2020
- HNW clients · 3 to 10Apr 1, 2019 to Mar 30, 2020
- Individual clients · 57 to 52Apr 1, 2019 to Mar 30, 2020
- State-registered IARs · 2 to 1Apr 1, 2019 to Mar 30, 2020
- Discretionary RAUM · $114M to $99.9MApr 1, 2019 to Mar 30, 2020
- HNW RAUM · $4.1M to $4.9MApr 1, 2019 to Mar 30, 2020
- Individual RAUM · $13.6M to $16.5MApr 1, 2019 to Mar 30, 2020
- Pension RAUM · $220,591 to $466,212Apr 1, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $91.2M to $73.2MApr 1, 2019 to Mar 30, 2020
- RAUM · $114M to $99.9MApr 1, 2019 to Mar 30, 2020
- Accounts · 75 to 131Mar 27, 2018 to Mar 29, 2019
- Corporate clients · 3 to 2Mar 27, 2018 to Mar 29, 2019
- HNW clients · unset to 3.0Mar 27, 2018 to Mar 29, 2019
- Individual clients · 63 to 57Mar 27, 2018 to Mar 29, 2019
- Discretionary RAUM · $145M to $114MMar 27, 2018 to Mar 29, 2019
- HNW RAUM · $1.8M to $4.1MMar 27, 2018 to Mar 29, 2019
- Individual RAUM · $16.1M to $13.6MMar 27, 2018 to Mar 29, 2019
- Pension RAUM · $896,588 to $220,591Mar 27, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $120M to $91.2MMar 27, 2018 to Mar 29, 2019
- RAUM · $145M to $114MMar 27, 2018 to Mar 29, 2019
Signals
1 dated events
- V•••• M••••••••• I•• filed its initial SEC registration (Form ADV)Aug 20, 2015 · First SEC registration · 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
- Firm profile
- linkedin.com/company/value-monitoringreportedpublic record, Form ADV, Sep 18, 2026
- Website
- V••••M•••••••••.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $48.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026