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.

Former SEC-registered adviser

Rushmore Investment Advisors Inc

Former SEC-registered adviserPlano, TexasCRD 110292SEC 801-52530IAPD
Latest filing Mar 18, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$873M
reported, Item 5.F
Discretionary
73%
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
12
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$873M as of Mar 18, 2013
Mar 30, 2012$971M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 6
Employees (5.A): 12
Private funds: no history
RAUM -10% over the last fiscal year
Practice profile
derived from the filing of Mar 18, 2013; every figure names its basis
RAUM per advisor
$146MderivedRAUM 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
$844,294derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-10%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 assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,034reported
Financial planning clients
0reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Allen John Vann · Ceo, Director, Chairman, President, Ccocontrol
    since 07/1996 · owns less than 5%
  • Allen John Vann · General Partnercontrol
    since 08/2001 · owns F of Vann Family Partners Ltd
  • Kent Stephen Mergler · Stockholder
    since 04/2011 · owns 5% to 10%
  • Wenjun Yang · Portfolio Manager
    since 12/2004 · owns less than 5%
Entity owners
  • Jvc Financial LLC · Stockholder
    direct · owns 75% or more
  • Vann Family Partners, LLC · Stockholders
    indirect · owns 75% or more of Jvc Financial LLC
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Fort Lauderdale, FL
What changed
consecutive filings, newest first
  • Accounts · 1,257 to 1,034
    Jan 8, 2013 to Mar 18, 2013
  • Employees · 15 to 12
    Jan 8, 2013 to Mar 18, 2013
  • Discretionary RAUM · $681M to $635M
    Jan 8, 2013 to Mar 18, 2013
  • Non-discretionary RAUM · $290M to $238M
    Jan 8, 2013 to Mar 18, 2013
  • RAUM · $971M to $873M
    Jan 8, 2013 to Mar 18, 2013
  • Advisory employees · unset to 6.0
    Mar 30, 2012 to Dec 4, 2012
  • Employees · unset to 15.0
    Mar 30, 2012 to Dec 4, 2012
  • State-registered IARs · unset to 6.0
    Mar 30, 2012 to Dec 4, 2012
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