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
V••••• C•••••• A•••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Mar 26, 2012 · 43 filings
SEC status approved since Feb 1, 1985
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.5B as of Jun 30, 2026
Mar 26, 2012$24B then
HNW client RAUM$2.1M as of Mar 31, 2023
Mar 27, 2018$181M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Mar 26, 201323 then
Employees (5.A)0 as of Jun 30, 2026
Mar 26, 201394 then
Private funds2 as of Jun 30, 2026
Mar 31, 20232 then
RAUM +3.3% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2026; 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
- $6.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 36%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- yesreportedItem 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$670M47%
- State and municipal entities$314M22%
- Charitable organizations$226M16%
- Corporations and businesses$214M15%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 215reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $823M managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.45 institutional_share=0.36 related_bd=true related_bank=true bd_reps=0.0derived
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
- R••••• K•••••• K••••••• to E•••• V•••• M•••••••••Jun 1, 2017 · Other
- B•••• P• M••••• to E••••• J••••Jun 1, 2017 · Other
- B•••• M•••••• R••••••• to A••••••• A•••• M••••••••• I•••May 1, 2017 · Other
- R••••• M•••••• S•••••• to J••• M••••• S••••••••• L••Feb 3, 2017 · Other
- M•••••• M•••• T••••••• to N•••••••• B••••• B• L••May 2, 2016 · Other
- J•••• G••••• K••• to G•••••• I•••••••••Apr 7, 2016 · Other
- D••• B••• D•• to S••••••••• C•••••• M••••••••• L••Apr 7, 2016 · Other
- R••••• M•••••• W••••• to S•••••••• I••••••••• M•••••••••Feb 29, 2016 · Other
- J••••• A•••• F•••• to M••••• S••••••Sep 24, 2015 · Other
- J•••• H•••••• D•••••••• to V••• I••••••••• M••••••••• C•• L••Jul 14, 2015 · Other
- J•••• M•••••• A•••••• to E••••• J••••Apr 14, 2015 · Other
- E••• S•••• W••••• to E••••• J••••May 12, 2014 · Other
- K••••••• V••••• L••• to M••••• S••••••Nov 5, 2013 · Other
- R••••• W•••••• C••••• to E••• A•••••••• L••Oct 11, 2010 · Other
- P••• J••••• P•••••• to C•••••• W••••• M••••••••• L••Jun 2, 2010 · Other
Joined, latest
- M•••••• B• C••••• from V••••• A•••• M•••••••••Jun 10, 2021 · Other
- M•••••• J••••• L••• from O•• R•••• I••••••••• L••Sep 6, 2016 · Other
- J••••• A•••• F•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 16, 2015 · Other
- W•••••• P••• C••••••• from Y••••••••• A•••••••• L••Aug 14, 2015 · Other
- J•••• S••••• M••••• from E••••• J••••Jul 7, 2015 · Other
- B•••• P• M••••• from M•• S••••••••• I•••May 15, 2015 · Other
- F•••••• E•••• E••••• from U•• F•••••••• S••••••• I•••Apr 24, 2015 · Other
- D•••• M•••• R••• from L•••• A••••• • C•• L••Mar 18, 2015 · Other
- J•••• H•••••• D•••••••• from U••• F•••••••• P••••••• S•••••••Jul 9, 2014 · Other
- R••••• M•••••• W••••• from C••••••• C••••••• I•••Mar 27, 2014 · Other
- J••• W•••••• D••••• from W•••• F•••• A•••••••Feb 24, 2014 · Other
- M•••••• G••••••• C••• from I•••••• A•••••••• I•••May 13, 2013 · Other
- E••• S•••• W••••• from C•••••• T•••• • C••••••• I•••May 16, 2012 · Other
- J••• D• B••• from C••••••• M••••••••• I••••••••• A•••••••• L••Apr 26, 2011 · Other
- R••••• K•••••• K••••••• from I•••••• A•••••••• I•••Jan 26, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for V••••• I••••••••• A•••••••• L••Nov 19, 2018 · Hartford, Ct · Firm absorbed
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••• I••••••••• S•••••••• O••••••••• L•• | Other Private Fund | $121M | 9 | Sep 29, 2017 |
| V••••• E••••••• M•••••• C••••••• L•• | Other Private Fund | $46.5M | 3 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• A•••• · Executive Vice President, Chief Financial Officercontrolsince 06/2017 · owns less than 5%
- A••••••• G•••••• R••••• · President And Chief Executive Officercontrolsince 06/2017 · owns less than 5%
- B••••••••• P••••• J•••••• · Senior Vice President, Product Managementcontrolsince 06/2017 · owns less than 5%
- H•••••• D••••• G••••• · Senior Vice President And Treasurercontrolsince 06/2017 · owns less than 5%
- P••••••••• A••••• C•••••• · Executive Vice President And Chief Legal Officercontrolsince 11/2023 · owns less than 5%
- S••••• R••••••• W•••••• · Executive Vice Presidentcontrolsince 05/2021 · owns less than 5%
- P••••••• C•••••• · Vice President And Chief Compliance Officersince 08/2024 · owns less than 5%
Entity owners
- V••••• P•••••••• I••• · Sole Memberdirect · owns 75% or more
- V••••• I••••••••• P•••••••• I••• · Sole Shareholderindirect · owns 75% or more of V••••• P•••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• G••••• L••investment adviserbanknRAUM $3.1B
- C•••••• V•••• A••••••• L••investment advisernRAUM $3.4B
- D••• • P••••• I••••••••• M••••••••• C••investment advisernRAUM $13B
- K•••• A••••••• R•••••• I••••••••• M••••••••• L••investment advisernRAUM $39B
- N•• I••••••••• G••••• L••investment advisernRAUM $3.0B
- S••• C•• M••••••••• G• L••pooled vehicle sponsorn
- S••• C•• M••••••••• L••investment advisernRAUM $336M
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $3.0B
- S••••••••• G••••• A•••••••• L•investment advisernRAUM $17B
- V••••• A••••••••• Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- V••••• Advisers, LLCinvestment adviserbanknRAUM $1.4B
- V••••• F•••• I••••• A•••••••• L••investment adviserbanknRAUM $35B
- V••••• G••••• P••••••• P••• L•••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment advisern
- V••••• I••••••••• M••••••••• L••investment advisern
- V••••• I••••••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $52B
- V• D••••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••investment adviserbanknRAUM $2.9B
- W••••••••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list V••••• C•••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA5 employees
- New York City, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 202 to 215Jan 31, 2025 to Mar 27, 2026
- Corporate clients · 5 to 4Jan 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.4B to $1.5BJan 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $668M to $670MJan 31, 2025 to Mar 27, 2026
- RAUM · $1.4B to $1.5BJan 31, 2025 to Mar 27, 2026
- Wrap assets (manager) · $63.5M to $823MJan 31, 2025 to Mar 27, 2026
- Accounts · 281 to 202Sep 23, 2024 to Jan 31, 2025
- Advisory employees · 8 to 0Sep 23, 2024 to Jan 31, 2025
- Advisory activities · 6 to 5Sep 23, 2024 to Jan 31, 2025
- Business name · V••••• F••• A•••••••• L•• to V••••• C•••••• A•••••••• L••Sep 23, 2024 to Jan 31, 2025
- Corporate clients · 7 to 5Sep 23, 2024 to Jan 31, 2025
- Pooled vehicle clients · 10 to 8Sep 23, 2024 to Jan 31, 2025
- Employees · 8 to 0Sep 23, 2024 to Jan 31, 2025
- Financial planning clients · unset to Sep 23, 2024 to Jan 31, 2025
- Legal name · V••••• F••• A•••••••• L•• to V••••• C•••••• A•••••••• L••Sep 23, 2024 to Jan 31, 2025
- Discretionary RAUM · $7.4B to $1.4BSep 23, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $542M to $0Sep 23, 2024 to Jan 31, 2025
- Pooled vehicle RAUM · $807M to $668MSep 23, 2024 to Jan 31, 2025
- RAUM · $8.0B to $1.4BSep 23, 2024 to Jan 31, 2025
- Wrap assets (manager) · $91.4M to $63.5MSep 23, 2024 to Jan 31, 2025
- Accounts · 349 to 281Dec 11, 2023 to Mar 28, 2024
- Advisory employees · 7 to 8Dec 11, 2023 to Mar 28, 2024
- BD registered reps · 1 to 0Dec 11, 2023 to Mar 28, 2024
- Pooled vehicle clients · 16 to 10Dec 11, 2023 to Mar 28, 2024
- Employees · 7 to 8Dec 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $8.6B to $7.4BDec 11, 2023 to Mar 28, 2024
- HNW RAUM · 2088615.0 to unsetDec 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $875M to $542MDec 11, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.1B to $807MDec 11, 2023 to Mar 28, 2024
- RAUM · $9.5B to $8.0BDec 11, 2023 to Mar 28, 2024
- Wrap assets (manager) · $111M to $91.4MDec 11, 2023 to Mar 28, 2024
- Accounts · 1,616 to 349Aug 24, 2022 to Mar 31, 2023
- Advisory employees · 0 to 7Aug 24, 2022 to Mar 31, 2023
- BD registered reps · 0 to 1Aug 24, 2022 to Mar 31, 2023
- Corporate clients · 10 to 7Aug 24, 2022 to Mar 31, 2023
- Pooled vehicle clients · 11 to 16Aug 24, 2022 to Mar 31, 2023
- Assets in custody · unset to 0.0Aug 24, 2022 to Mar 31, 2023
- Custody of client assets · false to trueAug 24, 2022 to Mar 31, 2023
- Employees · 0 to 7Aug 24, 2022 to Mar 31, 2023
- Other offices · 0 to 2Aug 24, 2022 to Mar 31, 2023
Signals
12 dated events
- V••••• C•••••• A•••••••• L•• reported RAUM $1.4B, down 82% from $8.0B (2024-09-23 to 2025-01-31)Jan 31, 2025 · RAUM change · derived
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer) appeared on Schedule A of V••••• C•••••• A•••••••• L••Dec 11, 2023 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of V••••• C•••••• A•••••••• L•• (listed 2023-04-07, absent 2023-06-09)Jun 9, 2023 · Control person left · inference
- V••••• C•••••• A•••••••• L•• reported RAUM $9.5B, down 33% from $14.2B (2022-08-24 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Jackson Peter Batchelar (Senior Vice President, Product Management) appeared on Schedule A of V••••• C•••••• A•••••••• L••Mar 31, 2023 · Control person joined · fact
- W•••••• Richard Smirl (Executive Vice President) appeared on Schedule A of V••••• C•••••• A•••••••• L••Mar 29, 2022 · Control person joined · fact
- George David Hanley (Senior Vice President And Treasurer) appeared on Schedule A of V••••• C•••••• A•••••••• L••Mar 29, 2022 · Control person joined · fact
- George Francis Waltman (Executive Vice President, Product Management) no longer on Schedule A of V••••• C•••••• A•••••••• L•• (listed 2021-01-29, absent 2021-03-11)Mar 11, 2021 · Control person left · inference
- Stephen Mark Flynn (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of V••••• C•••••• A•••••••• L•• (listed 2019-03-27, absent 2019-10-15)Oct 15, 2019 · Control person left · inference
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of V••••• C•••••• A•••••••• L••Oct 15, 2019 · Control person joined · fact
- V••••• C•••••• A•••••••• L•• reported 0 state-registered advisory representatives, down from 27 (2017-08-31 to 2018-03-27)Mar 27, 2018 · Advisor headcount change · derived
- R••••••••• C•••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 23, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- V••••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- V•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-248-7971reportedpublic record, Form ADV, Jun 30, 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
- Other 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