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
Vantage Wealth
Latest filing Jan 27, 2026
First filing on the tape Nov 17, 2011 · 24 filings
SEC status approved since Jul 1, 1995
RAUM
$684M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$641M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$684M as of Jan 27, 2026
Mar 29, 2012$153M then
HNW client RAUM$624M as of Jan 27, 2026
Mar 30, 2018$244M then
State-registered IARs (5.B.3)3 as of Jan 27, 2026
Mar 28, 20132 then
Employees (5.A)6 as of Jan 27, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 27, 2026; every figure names its basis
- RAUM per advisor
- $228MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 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
- +2.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $668M, 245 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$624M91%
- Corporations and businesses$17.6M2.6%
- Individuals$17.1M2.5%
- Charitable organizations$14.4M2.1%
- Pension and profit-sharing plans$10.7M1.6%
- Individual clients
- 44reported
- HNW clients
- 188reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 489reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $668M for 245 clientsreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- James Michael Vandevoorde to Summitry, LLCApr 7, 2026 · RIA to RIA
- Alexander A Tran to Summitry, LLCApr 7, 2026 · RIA to RIA
- Mary Elizabeth Storjohann to Morgan StanleyAug 9, 2013 · Other
- Casey Donald Grigg to Callidus Capital Partners LLCFeb 13, 2006 · Other
Joined, latest
- Alexander A Tran from Genter Capital ManagementNov 12, 2021 · RIA to RIA
- Mary Elizabeth Storjohann from Morgan Stanley & Co. LLCNov 19, 2007 · Other
- Casey Donald Grigg from Gould Asset Management LLCAug 9, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Summitry, LLCApr 7, 2026 · Pasadena, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael James Vandevoorde · President And Chief Compliance Officercontrolsince 08/1993 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 457 to 489Jan 24, 2025 to Jan 27, 2026
- HNW clients · 206 to 188Jan 24, 2025 to Jan 27, 2026
- Individual clients · 21 to 44Jan 24, 2025 to Jan 27, 2026
- Pension plan clients · 9 to 10Jan 24, 2025 to Jan 27, 2026
- Assets in custody · $596M to $668MJan 24, 2025 to Jan 27, 2026
- Discretionary RAUM · $609M to $684MJan 24, 2025 to Jan 27, 2026
- HNW RAUM · $566M to $624MJan 24, 2025 to Jan 27, 2026
- Individual RAUM · $4.8M to $17.1MJan 24, 2025 to Jan 27, 2026
- Pension RAUM · $8.2M to $10.7MJan 24, 2025 to Jan 27, 2026
- RAUM · $609M to $684MJan 24, 2025 to Jan 27, 2026
- Accounts · 458 to 457Dec 13, 2024 to Jan 24, 2025
- Business name · OSHER VAN DE VOORDE INVESTMENT MANAGEMENT to VANTAGE WEALTHDec 13, 2024 to Jan 24, 2025
- Corporate clients · 6 to 5Dec 13, 2024 to Jan 24, 2025
- HNW clients · 209 to 206Dec 13, 2024 to Jan 24, 2025
- Individual clients · 31 to 21Dec 13, 2024 to Jan 24, 2025
- Pension plan clients · 7 to 9Dec 13, 2024 to Jan 24, 2025
- Assets in custody · $422M to $596MDec 13, 2024 to Jan 24, 2025
- Financial planning clients · 0 to 1-10Dec 13, 2024 to Jan 24, 2025
- Legal name · OSHER VAN DE VOORDE INVESTMENT MANAGEMENT to VANTAGE WEALTHDec 13, 2024 to Jan 24, 2025
- Discretionary RAUM · $557M to $609MDec 13, 2024 to Jan 24, 2025
- HNW RAUM · $510M to $566MDec 13, 2024 to Jan 24, 2025
- Individual RAUM · $9.2M to $4.8MDec 13, 2024 to Jan 24, 2025
- Pension RAUM · $9.8M to $8.2MDec 13, 2024 to Jan 24, 2025
- RAUM · $557M to $609MDec 13, 2024 to Jan 24, 2025
- Accounts · 425 to 458Jan 25, 2023 to Jan 22, 2024
- Corporate clients · 5 to 6Jan 25, 2023 to Jan 22, 2024
- HNW clients · 195 to 209Jan 25, 2023 to Jan 22, 2024
- Individual clients · 33 to 31Jan 25, 2023 to Jan 22, 2024
- Pension plan clients · 6 to 7Jan 25, 2023 to Jan 22, 2024
- Assets in custody · $493M to $422MJan 25, 2023 to Jan 22, 2024
- Discretionary RAUM · $508M to $557MJan 25, 2023 to Jan 22, 2024
- HNW RAUM · $461M to $510MJan 25, 2023 to Jan 22, 2024
- Individual RAUM · $9.9M to $9.2MJan 25, 2023 to Jan 22, 2024
- Pension RAUM · $7.5M to $9.8MJan 25, 2023 to Jan 22, 2024
- RAUM · $508M to $557MJan 25, 2023 to Jan 22, 2024
- Accounts · 396 to 425Feb 15, 2022 to Jan 25, 2023
- Charity clients · 4.0 to unsetFeb 15, 2022 to Jan 25, 2023
- Corporate clients · 4 to 5Feb 15, 2022 to Jan 25, 2023
- HNW clients · 173 to 195Feb 15, 2022 to Jan 25, 2023
- Pension plan clients · 4 to 6Feb 15, 2022 to Jan 25, 2023
Signals
4 dated events
- Vantage Wealth no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $683.8M)May 1, 2026 · Left the SEC roster · derived
- Alexander A Tran left Vantage Wealth for Summitry, Llc (registered 2026-03-05)Apr 7, 2026 · Advisor changed firm · fact
- James Michael Vandevoorde left Vantage Wealth for Summitry, Llc (registered 2026-03-05)Apr 7, 2026 · Advisor changed firm · fact
- 2 advisors left Vantage Wealth (Pasadena, CA) for Summitry, LLC on the same dayApr 7, 2026 · Team lift-out · 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