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••• T••• I••••••••• M••••••••• L••
Latest filing Aug 25, 2020
First filing on the tape Apr 16, 2012 · 10 filings
RAUM
$1.3B
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
62
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.3B as of Aug 25, 2020
Aug 24, 2012$335M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 25, 2020
Aug 21, 20130 then
Employees (5.A)62 as of Aug 25, 2020
Aug 21, 201320 then
Private funds: no history
RAUM +63% over the last fiscal year+50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 25, 2020; 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
- $86.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 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
- Investment companies$1.3B99%
- Charitable organizations$12.6M1.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 15reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
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
- H••••••••• M•••••• J••• · Executive Directorcontrolsince 10/2013 · owns less than 5%
- L••••• A•••• A•••••• · Executive Directorcontrolsince 10/2013 · owns less than 5%
Entity owners
- V•••••••• L•••••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list V••• T••• I••••••••• M••••••••• L•• as a related person
- 110655 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 15Aug 13, 2019 to Aug 25, 2020
- Advisory employees · 6 to 4Aug 13, 2019 to Aug 25, 2020
- Charity clients · unset to 1.0Aug 13, 2019 to Aug 25, 2020
- Employees · 52 to 62Aug 13, 2019 to Aug 25, 2020
- Discretionary RAUM · $792M to $1.3BAug 13, 2019 to Aug 25, 2020
- RAUM · $792M to $1.3BAug 13, 2019 to Aug 25, 2020
- Related adviser · true to falseAug 13, 2019 to Aug 25, 2020
- Employees · 39 to 52Aug 18, 2018 to Aug 13, 2019
- Discretionary RAUM · $520M to $792MAug 18, 2018 to Aug 13, 2019
- RAUM · $520M to $792MAug 18, 2018 to Aug 13, 2019
- Accounts · 9 to 11Aug 15, 2017 to Aug 18, 2018
- Advisory employees · 4 to 6Aug 15, 2017 to Aug 18, 2018
- Employees · 26 to 39Aug 15, 2017 to Aug 18, 2018
- Other offices · unset to 0.0Aug 15, 2017 to Aug 18, 2018
- Discretionary RAUM · $381M to $520MAug 15, 2017 to Aug 18, 2018
- RAUM · $381M to $520MAug 15, 2017 to Aug 18, 2018
- Accounts · 6 to 9Aug 16, 2016 to Aug 15, 2017
- Employees · 21 to 26Aug 16, 2016 to Aug 15, 2017
- Discretionary RAUM · $89.2M to $381MAug 16, 2016 to Aug 15, 2017
- RAUM · $89.2M to $381MAug 16, 2016 to Aug 15, 2017
- Accounts · 5 to 6Aug 17, 2015 to Aug 16, 2016
- Employees · 18 to 21Aug 17, 2015 to Aug 16, 2016
- Discretionary RAUM · $37.1M to $89.2MAug 17, 2015 to Aug 16, 2016
- Non-discretionary RAUM · $13.3M to $0Aug 17, 2015 to Aug 16, 2016
- RAUM · $50.3M to $89.2MAug 17, 2015 to Aug 16, 2016
- Accounts · 6 to 5Aug 22, 2014 to Aug 17, 2015
- Advisory employees · 5 to 4Aug 22, 2014 to Aug 17, 2015
- Employees · 20 to 18Aug 22, 2014 to Aug 17, 2015
- Discretionary RAUM · $134M to $37.1MAug 22, 2014 to Aug 17, 2015
- Non-discretionary RAUM · $14.3M to $13.3MAug 22, 2014 to Aug 17, 2015
- RAUM · $148M to $50.3MAug 22, 2014 to Aug 17, 2015
- Accounts · 7 to 6Aug 21, 2013 to Aug 22, 2014
- Advisory employees · 10 to 5Aug 21, 2013 to Aug 22, 2014
- Discretionary RAUM · $172M to $134MAug 21, 2013 to Aug 22, 2014
- Non-discretionary RAUM · $14.1M to $14.3MAug 21, 2013 to Aug 22, 2014
- RAUM · $186M to $148MAug 21, 2013 to Aug 22, 2014
- Accounts · 10 to 7Aug 24, 2012 to Aug 21, 2013
- Advisory employees · unset to 10.0Aug 24, 2012 to Aug 21, 2013
- Employees · unset to 20.0Aug 24, 2012 to Aug 21, 2013
- State-registered IARs · unset to 0.0Aug 24, 2012 to Aug 21, 2013
Signals
4 dated events
- V••• T••• I••••••••• M••••••••• L•• reported RAUM $1.3B, up 63% from $792.0M (2019-08-13 to 2020-08-25)Aug 25, 2020 · RAUM change · derived
- Peter Wharton Robert Millar (Executive Director) no longer on Schedule A of V••• T••• I••••••••• M••••••••• L•• (listed 2019-08-13, absent 2020-08-25)Aug 25, 2020 · Control person left · inference
- V••• T••• I••••••••• M••••••••• L•• reported RAUM $792.0M, up 52% from $520.2M (2018-08-18 to 2019-08-13)Aug 13, 2019 · RAUM change · derived
- V••• T••• I••••••••• M••••••••• L•• reported RAUM $520.2M, up 36% from $381.3M (2017-08-15 to 2018-08-18)Aug 18, 2018 · RAUM change · derived
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