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••••••
Legal name V•• S••• • M••••••• I••
Latest filing Mar 4, 2021
First filing on the tape Mar 20, 2012 · 12 filings
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$392M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$397M as of Mar 4, 2021
Mar 20, 2012$202M then
HNW client RAUM$112M as of Mar 4, 2021
Mar 16, 2018$36.5M then
State-registered IARs (5.B.3)4 as of Mar 4, 2021
Mar 20, 20120 then
Employees (5.A)6 as of Mar 4, 2021
Mar 1, 20134 then
Private funds: no history
RAUM +11% over the last fiscal year+9.9% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 4, 2021; every figure names its basis
- RAUM per advisor
- $99.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $863,572derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$281M71%
- High-net-worth individuals$112M28%
- Pension and profit-sharing plans$5.0M1.3%
- Individual clients
- 411reported
- HNW clients
- 47reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 460reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- A•••••••• F••• B••••• to V•• W••••• A•••••••• L••Jul 20, 2021 · RIA to RIA
- F••• C••••• H••• to V•• W••••• A•••••••• L••Jul 20, 2021 · RIA to RIA
- C••••••••• J•••• B•••• to V•• W••••• A•••••••• L••Jul 20, 2021 · RIA to RIA
- B•••• M•••••• T••••• to V•• W••••• A•••••••• L••Jul 20, 2021 · RIA to RIA
- R••••• F•••• M•••••• to V•• W••••• A•••••••• L••Jul 20, 2021 · RIA to RIA
- J•••• P•••• G••••••• to M••••••• C•••••• M••••••••• L••Nov 12, 2010 · Other
Joined, latest
- F••• C••••• H••• from U•• F•••••••• S••••••• I•••Mar 24, 2021 · Wirehouse to independent RIA
- J•••• P•••• G••••••• from B•••••••• I••••••••• M••••••••• L••Dec 2, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for V•• W••••• A•••••••• L••Jul 20, 2021 · Lutherville, Md · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R•••••• F•••• · Director, President, Chief Compliance Officercontrolsince 07/1992 · 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 · 447 to 460May 28, 2020 to Mar 4, 2021
- HNW clients · 44 to 47May 28, 2020 to Mar 4, 2021
- Individual clients · 401 to 411May 28, 2020 to Mar 4, 2021
- Discretionary RAUM · $358M to $397MMay 28, 2020 to Mar 4, 2021
- HNW RAUM · $100M to $112MMay 28, 2020 to Mar 4, 2021
- Individual RAUM · $253M to $281MMay 28, 2020 to Mar 4, 2021
- Pension RAUM · $4.5M to $5.0MMay 28, 2020 to Mar 4, 2021
- RAUM · $358M to $397MMay 28, 2020 to Mar 4, 2021
- Accounts · 457 to 447Mar 15, 2019 to Mar 13, 2020
- HNW clients · 22 to 44Mar 15, 2019 to Mar 13, 2020
- Individual clients · 432 to 401Mar 15, 2019 to Mar 13, 2020
- Discretionary RAUM · $297M to $358MMar 15, 2019 to Mar 13, 2020
- HNW RAUM · $36.2M to $100MMar 15, 2019 to Mar 13, 2020
- Individual RAUM · $256M to $253MMar 15, 2019 to Mar 13, 2020
- Pension RAUM · $4.1M to $4.5MMar 15, 2019 to Mar 13, 2020
- RAUM · $297M to $358MMar 15, 2019 to Mar 13, 2020
- Accounts · 454 to 457Oct 23, 2018 to Mar 15, 2019
- Individual clients · 430 to 432Oct 23, 2018 to Mar 15, 2019
- Discretionary RAUM · $299M to $297MOct 23, 2018 to Mar 15, 2019
- HNW RAUM · $36.5M to $36.2MOct 23, 2018 to Mar 15, 2019
- Individual RAUM · $258M to $256MOct 23, 2018 to Mar 15, 2019
- Pension RAUM · $4.2M to $4.1MOct 23, 2018 to Mar 15, 2019
- RAUM · $299M to $297MOct 23, 2018 to Mar 15, 2019
- HQ city · LUTHERVILLE to HUNT VALLEYMar 16, 2018 to Oct 23, 2018
- Accounts · 449 to 454Mar 17, 2017 to Mar 16, 2018
- HNW clients · unset to 22.0Mar 17, 2017 to Mar 16, 2018
- Individual clients · unset to 430.0Mar 17, 2017 to Mar 16, 2018
- Pension plan clients · unset to 2.0Mar 17, 2017 to Mar 16, 2018
- Other offices · unset to 0.0Mar 17, 2017 to Mar 16, 2018
- Discretionary RAUM · $255M to $299MMar 17, 2017 to Mar 16, 2018
- HNW RAUM · unset to 36507873.0Mar 17, 2017 to Mar 16, 2018
- Individual RAUM · unset to 258395197.0Mar 17, 2017 to Mar 16, 2018
- Pension RAUM · unset to 4161414.0Mar 17, 2017 to Mar 16, 2018
- RAUM · $255M to $299MMar 17, 2017 to Mar 16, 2018
- Accounts · 421 to 449Mar 2, 2016 to Mar 17, 2017
- Discretionary RAUM · $237M to $255MMar 2, 2016 to Mar 17, 2017
- RAUM · $237M to $255MMar 2, 2016 to Mar 17, 2017
- Accounts · 408 to 421Mar 6, 2015 to Mar 2, 2016
- Business name · V•• S••• • M••••••• I•• to V•••••• M••••••Mar 6, 2015 to Mar 2, 2016
- Discretionary RAUM · $236M to $237MMar 6, 2015 to Mar 2, 2016
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