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•••••• M••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Feb 7, 2018 · 14 filings
SEC status approved since Mar 7, 2018
RAUM
$306M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
15%
$45.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$306M as of Mar 26, 2026
Feb 8, 2019$143M then
HNW client RAUM$42.8M as of Mar 26, 2026
Feb 8, 2019$25.9M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Feb 8, 20194 then
Employees (5.A)3 as of Mar 26, 2026
Feb 8, 20194 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- Other investment advisers$244M80%
- High-net-worth individuals$42.8M14%
- Pension and profit-sharing plans$12.3M4.0%
- Charitable organizations$3.2M1.0%
- Individuals$2.9M1.0%
- Individual clients
- 11reported
- HNW clients
- 24reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 89reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.15 fund_share=0.8 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• L•• H••••• | C••••••Ton, Sc | Aug 1, 2025 | 14 y | 1 |
| T••••• E••••• N••••• | C••••••Ton, Sc | Aug 1, 2025 | 26 y | 1 |
| D•••• V••••••• N••••• | C••••••Ton, Sc | Nov 25, 2025 | 25 y | 1 |
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
- T••• J•••••• K•••••••• to P••••••• F•••• F•••••••• A•••••••• L••Aug 11, 2021 · RIA to a state-registered adviser
- M•••••• J•••• L•••••••• to P••••••• A•••••••Jul 30, 2019 · RIA to a state-registered adviser
Joined, latest
- T••• J•••••• K•••••••• from M••••• S••••••Oct 30, 2019 · Wirehouse to independent RIA
- M•••••• J•••• L•••••••• from C•••••• S••••• • C••• I•••Aug 30, 2017 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• D••••• V••••••• · President/Ceocontrolsince 10/2000 · owns 50% to 75%
- N•••••• T•••••• E••••• · Ccocontrolsince 10/2000 · 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 |
|---|---|---|---|---|---|
| C••••••Ton, Sc · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 26, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-07-28, yes on the filing of 2026-03-26peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 122 to 89Jul 28, 2025 to Mar 26, 2026
- Advisory employees · 2 to 3Jul 28, 2025 to Mar 26, 2026
- Advisory activities · 1 to 2Jul 28, 2025 to Mar 26, 2026
- HNW clients · 30 to 24Jul 28, 2025 to Mar 26, 2026
- Individual clients · 21 to 11Jul 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $62.8M to $61.2MJul 28, 2025 to Mar 26, 2026
- HNW RAUM · $42.9M to $42.8MJul 28, 2025 to Mar 26, 2026
- Individual RAUM · $5.4M to $2.9MJul 28, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $210M to $244MJul 28, 2025 to Mar 26, 2026
- Pension RAUM · $11.3M to $12.3MJul 28, 2025 to Mar 26, 2026
- RAUM · $273M to $306MJul 28, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 28, 2025
- Accounts · 135 to 122Feb 29, 2024 to Mar 31, 2025
- HNW clients · 22 to 30Feb 29, 2024 to Mar 31, 2025
- Individual clients · 22 to 21Feb 29, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 3Feb 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $55.8M to $62.8MFeb 29, 2024 to Mar 31, 2025
- HNW RAUM · $36.5M to $42.9MFeb 29, 2024 to Mar 31, 2025
- Individual RAUM · $6.1M to $5.4MFeb 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $209M to $210MFeb 29, 2024 to Mar 31, 2025
- Pension RAUM · $10.6M to $11.3MFeb 29, 2024 to Mar 31, 2025
- RAUM · $265M to $273MFeb 29, 2024 to Mar 31, 2025
- Related adviser · false to trueFeb 29, 2024 to Mar 31, 2025
- Accounts · 160 to 135Feb 23, 2023 to Feb 29, 2024
- Charity clients · 2 to 1Feb 23, 2023 to Feb 29, 2024
- HNW clients · 31 to 22Feb 23, 2023 to Feb 29, 2024
- Individual clients · 36 to 22Feb 23, 2023 to Feb 29, 2024
- Pension plan clients · 7 to 4Feb 23, 2023 to Feb 29, 2024
- Discretionary RAUM · $58.6M to $55.8MFeb 23, 2023 to Feb 29, 2024
- HNW RAUM · $37.0M to $36.5MFeb 23, 2023 to Feb 29, 2024
- Individual RAUM · $7.5M to $6.1MFeb 23, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $149M to $209MFeb 23, 2023 to Feb 29, 2024
- Pension RAUM · $11.4M to $10.6MFeb 23, 2023 to Feb 29, 2024
- RAUM · $208M to $265MFeb 23, 2023 to Feb 29, 2024
- Accounts · 177 to 160Nov 15, 2022 to Feb 23, 2023
- HNW clients · 52 to 31Nov 15, 2022 to Feb 23, 2023
- Individual clients · 38 to 36Nov 15, 2022 to Feb 23, 2023
- Pension plan clients · 0 to 7Nov 15, 2022 to Feb 23, 2023
- Discretionary RAUM · $87.9M to $58.6MNov 15, 2022 to Feb 23, 2023
- HNW RAUM · $76.4M to $37.0MNov 15, 2022 to Feb 23, 2023
Signals
1 dated events
- V••••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Feb 7, 2018 · ria f•••• adv filing · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 843-342-3044reportedpublic record, Form ADV, Mar 26, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026