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••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Feb 7, 1995
RAUM
$59B
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
104
71 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$59B as of Mar 31, 2026
Mar 30, 2012$45B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)104 as of Mar 31, 2026
Mar 28, 201328 then
Private funds4 as of Mar 31, 2023
Mar 30, 20125 then
RAUM +7.4% over the last fiscal year+3.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $20BderivedRAUM 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
- $556MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 34.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, 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
- Investment companies$59B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 107reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=11.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M• C•• X• P•••••• A•••••• •••••••• L•••no longer reported | Securitized Asset Fund | $219,617 | 21 | Mar 30, 2012 |
| M• C•• X• P•••••• A•••••• •••••••• L•••no longer reported | Securitized Asset Fund | $170,647 | 10 | Mar 30, 2012 |
| P•••••• C•• 1•••••• L•••no longer reported | Securitized Asset Fund | $10,865 | 4 | Mar 30, 2012 |
| M• C•• X•• P•••••• A•••••• •••••••• L•••no longer reported | Securitized Asset Fund | $3,146 | 24 | Mar 30, 2012 |
| N•••••••• C•• 1••••• L•••no longer reported | Securitized Asset Fund | $0 | 24 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• H•••• P••• · Secretarycontrolsince 01/2004 · owns less than 5%
- M••••••• E••••• N•• · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- N•••• J•••••••• D•• · Executive Vice President & Chief Investment Risk Officercontrolsince 03/2020 · owns less than 5%
- P••••••• T••••••• A••• · Head Of Distribution & Senior Managing Directorcontrolsince 07/2024 · owns less than 5%
- W••••••••• C••••••• N•• · Chief Financial Officercontrolsince 01/2023 · owns less than 5%
Entity owners
- V••• F•••• S•••••••• L•• · Sole Memberdirect · owns 75% or more
- V•• H••••••• L•• · Sole Memberindirect · owns 75% or more of V••• I••••••••• M••••••••• L••
- V••• F••••••••• I••• · Ownerindirect · owns 75% or more of V••• H•••••••• I••• · public reporting company
- V••• H•••••••• I••• · Shareholderindirect · owns 75% or more of V•• H••••••• L••
- V••• I••••••••• M••••••••• L•• · Memberindirect · owns 75% or more of V••• C••••••• L••
- V••• C••••••• L•• · Memberindirect · owns 75% or more of V••• F•••• S•••••••• L••
Related persons
Schedule D 7.A
- C•••• A•••• M••••••••• L•••investment advisernRAUM $1.5B
- R•••••••• L••• I•••••••• C••••••real estaten
- R•••••••• L••• I•••••••• C•••••• O• N•• Y•••real estaten
- 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••••••••• C•• L••investment adviserbankpooled vehicle sponsornRAUM $275B
- V••• I••••••••• M••••••••• L••investment adviserpooled vehicle sponsoryRAUM $39B
- V••• I••••••••• T•••• C••n
- V••• I••••••••• D••••••••• L••broker-dealern
- V••• R••••••••• A•••••••• L••investment adviserreal estatenRAUM $37B
- V••• R••••••••• I•••••••• A•• A•••••• C••••••real estaten
Advisers that list V••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 64 to 107Mar 28, 2025 to Mar 31, 2026
- Employees · 109 to 104Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $55B to $59BMar 28, 2025 to Mar 31, 2026
- RAUM · $55B to $59BMar 28, 2025 to Mar 31, 2026
- Accounts · 69 to 64Aug 8, 2024 to Mar 28, 2025
- Advisory employees · 70 to 71Aug 8, 2024 to Mar 28, 2025
- Advisory activities · 2 to 3Aug 8, 2024 to Mar 28, 2025
- BD registered reps · 14 to 11Aug 8, 2024 to Mar 28, 2025
- Employees · 121 to 109Aug 8, 2024 to Mar 28, 2025
- Financial planning clients · unset to Aug 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $58B to $55BAug 8, 2024 to Mar 28, 2025
- RAUM · $58B to $55BAug 8, 2024 to Mar 28, 2025
- Accounts · 65 to 69Mar 31, 2023 to Mar 26, 2024
- Advisory activities · 3 to 2Mar 31, 2023 to Mar 26, 2024
- Pooled vehicle clients · 4.0 to unsetMar 31, 2023 to Mar 26, 2024
- Employees · 135 to 121Mar 31, 2023 to Mar 26, 2024
- Private funds · 4 to unsetMar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $53B to $58BMar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · 401129.0 to unsetMar 31, 2023 to Mar 26, 2024
- RAUM · $53B to $58BMar 31, 2023 to Mar 26, 2024
- Accounts · 137 to 65Jan 25, 2023 to Mar 31, 2023
- Advisory employees · 71 to 70Jan 25, 2023 to Mar 31, 2023
- Employees · 113 to 135Jan 25, 2023 to Mar 31, 2023
- State-registered IARs · 4 to 3Jan 25, 2023 to Mar 31, 2023
- Discretionary RAUM · $97B to $53BJan 25, 2023 to Mar 31, 2023
- RAUM · $97B to $53BJan 25, 2023 to Mar 31, 2023
- Accounts · 138 to 137Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 130 to 71Mar 31, 2021 to Mar 31, 2022
- BD registered reps · 17 to 14Mar 31, 2021 to Mar 31, 2022
- Employees · 130 to 113Mar 31, 2021 to Mar 31, 2022
- State-registered IARs · 3 to 4Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $91B to $97BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $404,964 to $401,129Mar 31, 2021 to Mar 31, 2022
- RAUM · $91B to $97BMar 31, 2021 to Mar 31, 2022
- Accounts · 149 to 138Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 140 to 130Mar 30, 2020 to Mar 31, 2021
- BD registered reps · 20 to 17Mar 30, 2020 to Mar 31, 2021
- Employees · 140 to 130Mar 30, 2020 to Mar 31, 2021
- Insurance-licensed employees · 2 to 0Mar 30, 2020 to Mar 31, 2021
- State-registered IARs · 2 to 3Mar 30, 2020 to Mar 31, 2021
Signals
15 dated events
- Anne Tiffani Potesta (Head Of Distribution & Senior Managing Director) appeared on Schedule A of V••• I••••••••• 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••••••••• L•• (listed 2024-03-26, absent 2024-07-16)Jul 16, 2024 · Control person left · inference
- M•••••• J•••• F••• (Managing Director) no longer on Schedule A of V••• I••••••••• L•• (listed 2023-03-31, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Catrina Willingham (Chief Financial Officer) appeared on Schedule A of V••• I••••••••• L••Mar 26, 2024 · Control person joined · fact
- V••• I••••••••• L•• reported RAUM $53.2B, down 45% from $97.2B (2023-01-25 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Jay Harley Eisner (Chief Financial Officer) no longer on Schedule A of V••• I••••••••• L•• (listed 2023-01-25, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Dina Santoro (Director, President And Chief Executive Officer) no longer on Schedule A of V••• I••••••••• L•• (listed 2022-10-25, absent 2023-01-25)Jan 25, 2023 · Control person left · inference
- Allyn M•••••• Bell (Director And Chief Executive Officer) no longer on Schedule A of V••• I••••••••• L•• (listed 2022-08-23, absent 2022-10-25)Oct 25, 2022 · Control person left · inference
- Suzanne Micheline Faver (Chief Compliance Officer) no longer on Schedule A of V••• I••••••••• L•• (listed 2022-03-31, absent 2022-08-23)Aug 23, 2022 · Control person left · inference
- Nmn Erica Mckenna (Chief Compliance Officer) appeared on Schedule A of V••• I••••••••• L••Aug 23, 2022 · Control person joined · fact
- John Jacob Tuzza (Head Of Distribution & Senior Managing Director) appeared on Schedule A of V••• I••••••••• L••Mar 31, 2022 · Control person joined · fact
- Jay Harley Eisner (Chief Financial Officer) appeared on Schedule A of V••• I••••••••• L••Mar 31, 2021 · Control person joined · fact
- David Stanley Vyner (Executive Vice President & Chief Investment Risk Officer) no longer on Schedule A of V••• I••••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Dov Jonathan Nash (Executive Vice President & Chief Investment Risk Officer) appeared on Schedule A of V••• I••••••••• L••Mar 30, 2020 · Control person joined · fact
- V••• I••••••••• L•• reported RAUM $95.4B, up 84% from $51.9B (2017-03-30 to 2018-03-29)Mar 29, 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.
How to reach
public business contact points only, each with its source
- Website
- H••••://INVESTMENTS.V•••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-477-3000reportedpublic 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
- Asset manager (funds and pooled vehicles)deriveda 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