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••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Apr 30, 1998
RAUM
$39B
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
859
326 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$39B as of Mar 31, 2026
Mar 30, 2012$90B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)79 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)859 as of Mar 31, 2026
Mar 28, 2013896 then
Private funds: no history
RAUM +19% over the last fiscal year+2.1% a year over threeIARs 79 to 79
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $491MderivedRAUM 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
- $4.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 97%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.9derivedItem 5.A over advisors
- Advisors per office
- 9.9derived8 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$38B97%
- Other investment advisers$835M2.2%
- Corporations and businesses$238M0.6%
- Banks and thrifts$7.0M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.02 institutional_share=0.97 related_bd=true related_bank=true bd_reps=189.0derived
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
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
- C••••• V••••••• J••••• · Chief Investment Officer Of Equities & Senior Managing Directorcontrolsince 01/2022 · owns less than 5%
- F••••••• H•••• P••• · Head Of Im Legal & Managing Directorcontrolsince 01/2020 · owns less than 5%
- F••••• M••••••••• S•••••• · Chief Compliance Officer & Managing Directorcontrolsince 03/2022 · owns less than 5%
- P•••••• M••••••• H••••••• · Chief Operating Officer & Senior Managing Directorcontrolsince 01/2023 · owns less than 5%
- P••••••• T••••••• A••• · Head Of Distribution & Senior Managing Directorcontrolsince 07/2024 · owns less than 5%
- S••••••••• A•••• N•• · Chief Risk Officer & Managing Directorcontrolsince 01/2014 · owns less than 5%
- S••••• E•••• A••••• · Head Of Investments, Chief Investment Officer, Fixed Income & Senior Managing Directorcontrolsince 01/2024 · owns less than 5%
- T•••• M••••••• N•• · Chief Executive Officer & Senior Managing Directorcontrolsince 01/2024 · owns less than 5%
- W••••• M•••••• N•• · Chief Financial Officer & Managing Directorcontrolsince 01/2023 · owns less than 5%
Entity owners
- V•• H••••••• L•• · Sole Memberdirect · owns 75% or more
- V••• F••••••••• I••• · Shareholderindirect · owns 75% or more of V••• H•••••••• I••• · public reporting company
- V••• H•••••••• I••• · Shareholderindirect · owns 75% or more of V•• H••••••• L••
Related persons
Schedule D 7.A
- C•••• A•••• M••••••••• L•••investment adviseryRAUM $1.5B
- P••••• C•••••• A••• L••••••investment advisern
- P••••• E••••• A••••••• L•••investment advisern
- P••••• C••••••investment adviserbanknRAUM $15B
- V••• A••••••••• A•••• M••••••••• I•••••• L••••••investment adviserpooled vehicle sponsorn
- V••• A••••••••• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $34B
- V••• F•••••••• A•••••••• I•••broker-dealerinvestment adviserreal estatenRAUM $3.9B
- V••• F•••••••• P•••••••• L••broker-dealerinvestment advisern
- V••• I••••••••• M••••••••• ••• L••••••investment adviseryRAUM $52.8M
- V••• I••••••••• M••••••••• C•• L••investment adviserbankpooled vehicle sponsornRAUM $275B
- V••• I••••••••• T•••• C••y
- V••• I••••••••• D••••••••• L••broker-dealern
- V••• I••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $59B
- V••• R••••••••• A•••••••• L••investment adviserreal estatenRAUM $37B
Advisers that list V••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY61 employees
- Scottsdale, AZ28 employees
- San Diego, CA25 employees
- San Francisco, CA11 employees
- Westport, CT5 employees
- Windsor, CT3 employees
- Portland, OR2 employees
What changed
consecutive filings, newest first
- Accounts · 40 to 9Aug 4, 2025 to Mar 31, 2026
- Employees · 880 to 859Aug 4, 2025 to Mar 31, 2026
- Discretionary RAUM · $32B to $39BAug 4, 2025 to Mar 31, 2026
- RAUM · $32B to $39BAug 4, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Aug 4, 2025
- Accounts · 39 to 40Aug 7, 2024 to Mar 28, 2025
- Advisory employees · 306 to 326Aug 7, 2024 to Mar 28, 2025
- BD registered reps · 209 to 189Aug 7, 2024 to Mar 28, 2025
- Employees · 879 to 880Aug 7, 2024 to Mar 28, 2025
- Financial planning clients · unset to 0Aug 7, 2024 to Mar 28, 2025
- State-registered IARs · 90 to 79Aug 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $34B to $32BAug 7, 2024 to Mar 28, 2025
- RAUM · $34B to $32BAug 7, 2024 to Mar 28, 2025
- Accounts · 10 to 39Jan 12, 2024 to Mar 29, 2024
- Advisory employees · 304 to 306Jan 12, 2024 to Mar 29, 2024
- BD registered reps · 207 to 209Jan 12, 2024 to Mar 29, 2024
- Corporate clients · 4 to 2Jan 12, 2024 to Mar 29, 2024
- Employees · 880 to 879Jan 12, 2024 to Mar 29, 2024
- State-registered IARs · 93 to 90Jan 12, 2024 to Mar 29, 2024
- Discretionary RAUM · $36B to $34BJan 12, 2024 to Mar 29, 2024
- RAUM · $36B to $34BJan 12, 2024 to Mar 29, 2024
- Accounts · 43 to 10Jan 25, 2023 to Mar 29, 2023
- Advisory employees · 251 to 304Jan 25, 2023 to Mar 29, 2023
- BD registered reps · 183 to 207Jan 25, 2023 to Mar 29, 2023
- Employees · 790 to 880Jan 25, 2023 to Mar 29, 2023
- State-registered IARs · 88 to 93Jan 25, 2023 to Mar 29, 2023
- Discretionary RAUM · $44B to $36BJan 25, 2023 to Mar 29, 2023
- RAUM · $44B to $36BJan 25, 2023 to Mar 29, 2023
- Other offices · 8 to 7Nov 15, 2022 to Jan 25, 2023
- Advisory employees · 221 to 251Mar 31, 2022 to Aug 23, 2022
- Employees · 760 to 790Mar 31, 2022 to Aug 23, 2022
- Other offices · 3 to 8Mar 31, 2022 to Aug 23, 2022
- Accounts · 91 to 43Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 231 to 221Mar 31, 2021 to Mar 31, 2022
- BD registered reps · 194 to 183Mar 31, 2021 to Mar 31, 2022
- Corporate clients · unset to 4.0Mar 31, 2021 to Mar 31, 2022
- Employees · 780 to 760Mar 31, 2021 to Mar 31, 2022
- Insurance-licensed employees · 3 to 0Mar 31, 2021 to Mar 31, 2022
- State-registered IARs · 98 to 88Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $70B to $44BMar 31, 2021 to Mar 31, 2022
Signals
26 dated events
- M•••••• J•••• F••• (Chief Administrative Officer & Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2024-07-16, absent 2024-08-07)Aug 7, 2024 · Control person left · inference
- Anne Tiffani Potesta (Head Of Distribution & Senior Managing Director) appeared on Schedule A of V••• I••••••••• M••••••••• L••Jul 16, 2024 · Control person joined · fact
- John Jacob Tuzza (Head Of Distribution & Senior Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2024-03-29, absent 2024-07-16)Jul 16, 2024 · Control person left · inference
- A E••• S•••• (Head Of Investments, Chief Investment Officer, Fixed Income & Senior Managing Director) appeared on Schedule A of V••• I••••••••• M••••••••• L••Jan 12, 2024 · Control person joined · fact
- Lynn Christine Hurtsellers (Director, Chief Executive Officer & Chairwoman) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2023-05-05, absent 2024-01-12)Jan 12, 2024 · Control person left · inference
- Lawrence Paul Zemsky (Chief Investment Officer Of Mass & Senior Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2023-05-05, absent 2024-01-12)Jan 12, 2024 · Control person left · inference
- Nmn Markus Wolff (Chief Financial Officer & Managing Director) appeared on Schedule A of V••• I••••••••• M••••••••• L••Jan 25, 2023 · Control person joined · fact
- Bruce M•••••• Pytosh (Co-Chief Investment Officer Of Equities & Senior Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2022-11-15, absent 2023-01-25)Jan 25, 2023 · Control person left · inference
- Dina Santoro (Director, Chief Operating Officer & Senior Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2022-11-15, absent 2023-01-25)Jan 25, 2023 · Control person left · inference
- Hubertus M•••••• Peters (Chief Operating Officer & Senior Managing Director) appeared on Schedule A of V••• I••••••••• M••••••••• L••Jan 25, 2023 · Control person joined · fact
- Allyn M•••••• Bell (Director, Chief Financial Officer & Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2022-08-23, absent 2022-10-25)Oct 25, 2022 · Control person left · inference
- V••• I••••••••• M••••••••• L•• reported 8 offices beyond its principal office, up from 3 (2022-03-31 to 2022-08-23)Aug 23, 2022 · Office count change · derived
- Ann Deborah Hammalian (Chief Compliance Officer, Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Alan Jeffrey Bakalar (Senior Managing Director, Group Head And Chief Investment Officer - Senior Loan) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- John Jacob Tuzza (Head Of Distribution & Senior Managing Director) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- Suzanne Micheline Faver (Chief Compliance Officer & Senior Vice President) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- Joseph Vincent Costa (Co-Chief Investment Officer Of Equities & Senior Managing Director) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- V••• I••••••••• M••••••••• L•• reported RAUM $43.5B, down 37% from $69.6B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Milton Charles Shaffer (Head Of Distribution And Senior Managing Director) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Allen Daniel Norman (Senior Managing Director, Group Head - Senior Loan) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- V••• I••••••••• M••••••••• L•• reported 98 state-registered advisory representatives, up from 0 (2020-03-30 to 2021-03-31)Mar 31, 2021 · Advisor headcount change · derived
- Paul Huey Falgout (Managing Director - Head Of Im Legal) appeared on Schedule A of V••• I••••••••• M••••••••• L••Jan 9, 2020 · Control person joined · fact
- Thomas Gerald Lins (Managing Director And General Counsel) no longer on Schedule A of V••• I••••••••• M••••••••• L•• (listed 2019-03-29, absent 2020-01-09)Jan 9, 2020 · Control person left · inference
- Alan Jeffrey Bakalar (Senior Managing Director, Group Head And Chief Investment Officer - Senior Loan) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
- V••• I••••••••• M••••••••• L•• reported RAUM $59.4B, down 35% from $90.8B (2018-08-15 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Allen Daniel Norman (Senior Managing Director, Group Head - Senior Loan) appeared on Schedule A of V••• I••••••••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- V••• I••••••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- V•••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 770-690-4600reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda 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